|
Broker Dealers Record:
1 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Broker Dealers Record:
1 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Custodians Record:
1 |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | CIBC Mellon Trust Company |
ii. LEI, if any | 549300IYUUH221WBZ505 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
3 |
i. Full name | The Standard Bank of South Africa Limited |
ii. LEI, if any | QFC8ZCW3Q5PRXU1XTM60 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SOUTH AFRICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
4 |
i. Full name | Clearstream Banking S.A. |
ii. LEI, if any | 549300OL514RA0SXJJ44 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
5 |
i. Full name | The Bank of New York Mellon (United Kingdom) |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
6 |
i. Full name | UBS Switzerland AG |
ii. LEI, if any | 549300WOIFUSNYH0FL22 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
7 |
i. Full name | Euroclear Bank |
ii. LEI, if any | 549300CBNW05DILT6870 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
8 |
i. Full name | The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main |
ii. LEI, if any | 5299008ORSGF0TGLSC98 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
9 |
i. Full name | MONTE TITOLI S.P.A. |
ii. LEI, if any | 8156009CEEE1B8C7C646 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
ITALY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
10 |
i. Full name | Citibanamex Afore, S.A. de C.V. |
ii. LEI, if any | 5493004NLEXB8DK06353 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
MEXICO
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Broker Dealers Record:
1 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Broker Dealers Record:
1 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Broker Dealers Record:
1 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Custodians Record:
1 |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited, Australia Branch |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
AUSTRALIA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | Privredna Banka Zagreb - Dionicko Drustvo |
ii. LEI, if any | 549300ZHFZ4CSK7VS460 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CROATIA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
3 |
i. Full name | Bank Polska Kasa Opieki S.A. |
ii. LEI, if any | 5493000LKS7B3UTF7H35 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
POLAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
4 |
i. Full name | Citibanamex Afore, S.A. de C.V. |
ii. LEI, if any | 5493004NLEXB8DK06353 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
MEXICO
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
5 |
i. Full name | Bank Hapoalim B.M. |
ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
ISRAEL
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
6 |
i. Full name | PJSC ROSBANK |
ii. LEI, if any | HOXMZG026UQNRK6J0C60 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
RUSSIAN FEDERATION
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
7 |
i. Full name | The Standard Bank of South Africa Limited |
ii. LEI, if any | QFC8ZCW3Q5PRXU1XTM60 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SOUTH AFRICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
8 |
i. Full name | Deutsche Bank (Istanbul) |
ii. LEI, if any | 789000N5SE3LWDK7OI11 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
TURKEY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
9 |
i. Full name | Banco Itau Uruguay S.A. |
ii. LEI, if any | 549300HU8OQS1VTVXN55 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
URUGUAY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
10 |
i. Full name | Citibank del Peru S.A. |
ii. LEI, if any | MYTK5NHHP1G8TVFGT193 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
PERU
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
11 |
i. Full name | HSBC Bank Egypt S.A.E. |
ii. LEI, if any | 2138001Q77JDLESS4Y50 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
EGYPT
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
12 |
i. Full name | Clearstream Banking S.A. |
ii. LEI, if any | 549300OL514RA0SXJJ44 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
13 |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
HONG KONG
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
14 |
i. Full name | Cititrust Colombia S A Sociedad Fiduciaria |
ii. LEI, if any | 549300242J3IJCOSGI49 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
COLOMBIA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
15 |
i. Full name | AS SEB banka |
ii. LEI, if any | 549300YW95G1VBBGGV07 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
LATVIA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
16 |
i. Full name | Deutsche Bank AG (Indonesia) |
ii. LEI, if any | 529900BYFVEGGOM24P36 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
INDONESIA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
17 |
i. Full name | Citibank Europe plc, pobocka zahranicnej banky |
ii. LEI, if any | N1FBEDJ5J41VKZLO2475 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SLOVAKIA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
18 |
i. Full name | Citibank Argentina |
ii. LEI, if any | 579100KKDGKCFFKKF005 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
ARGENTINA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
19 |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
20 |
i. Full name | Euroclear Bank |
ii. LEI, if any | 549300CBNW05DILT6870 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
21 |
i. Full name | The Bank of New York Mellon (United Kingdom) |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
22 |
i. Full name | Stanbic IBTC Bank Plc. |
ii. LEI, if any | 549300NIVXF92ZIOVW61 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NIGERIA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
23 |
i. Full name | The Hongkong and Shanghai Banking Corporation (Thailand) |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
THAILAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
24 |
i. Full name | Citibank N.A., Brazilian Branch |
ii. LEI, if any | 1P0UUG7LC1S92QTNHG39 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BRAZIL
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
25 |
i. Full name | The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main |
ii. LEI, if any | 5299008ORSGF0TGLSC98 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Broker Dealers Record:
1 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Broker Dealers Record:
1 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Custodians Record:
1 |
i. Full name | The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main |
ii. LEI, if any | 5299008ORSGF0TGLSC98 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | The Bank of New York Mellon (United Kingdom) |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
3 |
i. Full name | Euroclear Bank |
ii. LEI, if any | 549300CBNW05DILT6870 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
4 |
i. Full name | CIBC Mellon Trust Company |
ii. LEI, if any | 549300IYUUH221WBZ505 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
5 |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Broker Dealers Record:
1 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Custodians Record:
1 |
i. Full name | The Bank of New York Mellon (United Kingdom) |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | CIBC Mellon Trust Company |
ii. LEI, if any | 549300IYUUH221WBZ505 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
3 |
i. Full name | Euroclear Bank |
ii. LEI, if any | 549300CBNW05DILT6870 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
4 |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
5 |
i. Full name | The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main |
ii. LEI, if any | 5299008ORSGF0TGLSC98 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Broker Dealers Record:
1 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Broker Dealers Record:
1 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Broker Dealers Record:
1 |
a. Full name | BlueBay Asset Management International Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | City National Securities, Inc. |
b. SEC file number | 008-52265 |
c. CRD number | 000103705 |
d. LEI, if any | 254900XL8II8IO4VXK30 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | RBC Securities Australia Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | RBC CAPITAL MARKETS (JAPAN) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 54930060BA5D0H5MH826 |
e. State, if applicable | |
f. Foreign country, if applicable |
BARBADOS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | RBC CAPITAL MARKETS (Europe) GMBH |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300SXSTGQY3EA1B18 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | West Indies Stockbrokers Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QGBF42RMLOZV67 |
e. State, if applicable | |
f. Foreign country, if applicable |
TRINIDAD AND TOBAGO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | RBC Capital Markets, LLC |
b. SEC file number | 008-45411 |
c. CRD number | 000031194 |
d. LEI, if any | 549300LCO2FLSSVFFR64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | RBC Dominion Securities Global Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
BAHAMAS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | RBC DIRECT INVESTING INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300U4H4BEJHJ27M83 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | CNR Securities LLC |
b. SEC file number | 008-36759 |
c. CRD number | 000018466 |
d. LEI, if any | 894500JXD2XN50UHZI74 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | RBC Europe Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | TXDSU46SXBWIGJ8G8E98 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | RBC INVESTMENT SERVICES (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 213800JNBE31YKDS3954 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | RBC Dominion Securities Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QJJX6CVVUXLE15 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |