| Form TA-1 Filer Information | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A | OMB APPROVAL |
| OMB Number: 3235-0084 Estimated average burden hours per response: 1.5 |
TA-1/A : Filer Information
Form Version X0405 |
| 1(a). Filer CIK: | 0000700533 |
| 1(b). Filer CCC: | ******** |
| 1(c). Is this a LIVE or TEST submission? |  Live  Test |
| 1(d). Would you like a Return Copy? |  Yes |
Submission Contact Information
The registrant may provide a single e-mail address for contact purposes.| 1(f)(i). Contact Name: | |
| 1(f)(ii). Contact Phone Number: | |
| 1(f)(iii). Contact E-Mail Address: |
Notification Information
The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.| 1(g). Notification E-mail Address: |
TA-1/A : Registrant Information
| 2. Appropriate regulatory agency (check one): | Securities and Exchange Commission Federal Deposit Insurance Corporation Comptroller of the Currency |
| 3(a). Full Name of Registrant: | WADDELL & REED SERVICES Co (dba WI Services Company)/TA |
| 3(a)(i). Previous name, if being amended: | WADDELL & REED SERVICES CO /TA |
| 3(b). Financial Industry Number (FINS) number: | 407916 |
3(c). Address of principal office where transfer agent activities are, or will be, performed:
| 3(c)(i). Address 1 | 6301 Glenwood |
| 3(c)(ii). Address 2 | |
| 3(c)(iii). City | Overland Park |
| 3(c)(iv). State or Country | KANSAS |
| 3(c)(v). Postal Code | 66202 |
| 3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es): | Yes No |
| 3(e). Telephone Number (Include Area Code) | 913-236-2000 |
| 4. Does Registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Questions 3(c) above? If "Yes" provide address (es): | Yes No |
| 5. Does registrant act, or will it act, as a transfer agent solely for its own securities, and/or securities of an affiliate(s)? | Yes No |
| 6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions? | Yes No |
| 6(a). Name | DST ASSET MANAGER SOLUTIONS, INC. |
| 6(b). File Number | |
| 6(c)(i). Address 1 | 2000 CROWN COLONY DR. |
| 6(c)(ii). Address 2 | |
| 6(c)(iii). City | QUINCY |
| 6(c)(iv). State or Country | MASSACHUSETTS |
| 6(c)(v). Postal Code | 02169 |
| 7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions? | Yes No |
TA-1/A : Independent, Non-Issuer Registrant Information
Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable".
| 8. Is registrant a: | Corporation |
Section for Initial Registration and for Amendments Reporting Additional Persons.
corporation or partner information Related to item 8 Record: 1| 8(a)(i). Full Name | Waddell & Reed Financial Inc. |
| 8(a)(ii). Relationship Start Date | 07/01/1987 |
| 8(a)(iii). Title or Status | Direct Owner of Applicant |
| 8(a)(iv). Ownership Code | E |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Macquarie Management Holdings, Inc. |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | Parent of Waddell & Reed Financial, Inc. |
| 8(a)(iv). Ownership Code | E |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Macquarie Affiliated Managers (USA) Inc. |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | Parent of MMHI |
| 8(a)(iv). Ownership Code | E |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Macquarie Affiliated Managers Holdings (USA) Inc. |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | Parent of MAMI |
| 8(a)(iv). Ownership Code | E |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Macquaire FG Holdings Inc. |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | Parent of Macquarie Affiliated Managers |
| 8(a)(iv). Ownership Code | E |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Macquarie Asset Management US Holdings Pty Limited |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | Parent of Macquarie FG Holdings Inc. |
| 8(a)(iv). Ownership Code | E |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Macquarie Asset Management Holdings Pty Limited |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | Parent of Macquarie Asset Management US |
| 8(a)(iv). Ownership Code | E |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Macquarie Group Limited |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | Parent of Macquarie Asset Management Hol |
| 8(a)(iv). Ownership Code | E |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Brent Kyle Bloss |
| 8(a)(ii). Relationship Start Date | 02/01/2004 |
| 8(a)(iii). Title or Status | Senior Vice President |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date | 12/31/2021 |
| 8(a)(i). Full Name | Mark Steven Newman |
| 8(a)(ii). Relationship Start Date | 01/01/2018 |
| 8(a)(iii). Title or Status | President |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Jeffrey Oren Clevenger |
| 8(a)(ii). Relationship Start Date | 01/31/2019 |
| 8(a)(iii). Title or Status | AMLCO/Chief Compliance Officer |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Joseph W. Kauten |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | Senior Vice President/Treasurer |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date | 01/18/2022 |
| 8(a)(i). Full Name | Shawn Lytle |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | Chief Executive Officer |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | David F. Connor |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | SVP/General Counsel/Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Brian L. Murray, Jr. |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | SVP/Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Richard (No Middle Name) Salus |
| 8(a)(ii). Relationship Start Date | 04/30/2021 |
| 8(a)(iii). Title or Status | SVP/Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Waddell & Reed, Inc |
| 8(a)(ii). Relationship Start Date | 12/01/1981 |
| 8(a)(iii). Title or Status | Direct Owner |
| 8(a)(iv). Ownership Code | E |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date | 04/30/2021 |
| 8(a)(i). Full Name | Waddell & Reed Financial Services, Inc |
| 8(a)(ii). Relationship Start Date | 05/01/1983 |
| 8(a)(iii). Title or Status | Beneficial Owner |
| 8(a)(iv). Ownership Code | E |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Vedrana (NMN) Balta |
| 8(a)(ii). Relationship Start Date | 12/31/2018 |
| 8(a)(iii). Title or Status | Secretary |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date | 04/30/2021 |
| 8(a)(i). Full Name | Philip James Sanders |
| 8(a)(ii). Relationship Start Date | 08/01/2016 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date | 04/30/2021 |
| 8(a)(i). Full Name | Benjamin R. Clouse |
| 8(a)(ii). Relationship Start Date | 12/06/2018 |
| 8(a)(iii). Title or Status | Senior Vice President |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person | Yes |
| 8(a)(vi). Relationship End Date | 06/18/2021 |
9. Does any person or entity not named in the answer to Question 8:
| 9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant, or;…. | Yes No |
| 9(b). wholly or partially finance the business of the applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others?….. | Yes No |
TA-1/A : 10. Applicant and Control Affiliate Disciplinary History
The following definitions apply for purposes of answering this Question 10
| Control Affiliate | - An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority. |
| Investment or investment related | - Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association). |
| Involved | - Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act. |
10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contendere ("no contest") to:
| 10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting, or extortion? | Yes No |
| 10(a)(2). any other felony? | Yes No |
| 10(b). Has any court in the past ten years: | |
| 10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? | Yes No |
Entity information Related to item 10(b)(1) Record: 1
| 10(b)(1)(i). The individuals named in the Action | Macquarie Capital (USA) Inc. |
| 10(b)(1)(ii). Title of Action | Securities and Exchange Commission v. Macquarie Capital (USA) Inc., et al. |
| 10(b)(1)(iii). Date of Action | 03/27/2015 |
| 10(b)(1)(iv). The Court or body taking the Action and its location | U.S. District Court for the Southern District of New York |
| 10(b)(1)(v). Description of the Action | According to the SEC Complaint, MCUSA was the lead underwriter on a 2010 secondary public stock offering by Puda Coal, which traded on the New York Stock Exchange at the time and purportedly owned a coal company in the Peoples Republic of China. According to the SEC Complaint, in the offering documents, Puda Coal falsely claimed that it held a 90 percent ownership interest in the Chinese coal company. According to the SEC Complaint, MCUSA repeated those statements in its marketing materials for the offering despite obtaining a report showing that Puda Coal did not possess an ownership interest in the coal company. The Court Order requires MCUSA to pay $12 million in disgorgement and prejudgment interest and a civil monetary penalty in the amount of $3 million. |
| 10(b)(1)(vi). The disposition of the proceeding | ASIC and MEL entered into an enforceable undertaking on January 24, 2013. MEL has agreed to conduct an assessment of its licensee framework, implement a plan for any deficiencies, engage an independent expert to assess plan, and agree the plan with ASIC. |
| 10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? | Yes No |
| 10 (c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever: | |
| 10(c)(1). found the applicant or control affiliate to have made a false statement or omission? | Yes No |
Entity information Related to item 10(c)(1) Record: 1
| 10(c)(1)(i). The individuals named in the Action | DELAWARE SERVICE COMPANY |
| 10(c)(1)(ii). Title of Action | In the Matter of Delaware Service Company, Inc. |
| 10(c)(1)(iii). Date of Action | 08/31/2006 |
| 10(c)(1)(iv). The Court or body taking the Action and its location | SECURITIES AND EXCHANGE COMMISSION (SEC) |
| 10(c)(1)(v). Description of the Action | DELAWARE SERVICE COMPANY, INC. (DSC), AN ACCOUNTING AND ADMINISTRATIVE SERVICE PROVIDER TO SEVERAL FUNDS, WAS FOUND TO HAVE VIOLATED SECTIONS 19(A) AND 34(B) OF THE INVESTMENT COMPANY ACT OF 1940. |
| 10(c)(1)(vi). The disposition of the proceeding | ON 09/18/2006, DSC PAID THE ENTIRE AMOUNT OF THE FINE ($425,000.00). THE SEC FOUND THAT DSC FAILED TO SEND THE REQUIRED SECTION 19(A) NOTICES ON BEHALF OF THREE CLOSED-END INVESTMENT COMPANIES THAT MADE DISTRIBUTIONS TO SHAREHOLDERS PURSUANT TO MANAGED |
Entity information Related to item 10(c)(1) Record: 2
| 10(c)(1)(i). The individuals named in the Action | Delaware Asset Advisers and Wei (Alex) Wei |
| 10(c)(1)(ii). Title of Action | In the Matter of Delaware Asset Advisers and Wei (Alex) Wei |
| 10(c)(1)(iii). Date of Action | 07/18/2012 |
| 10(c)(1)(iv). The Court or body taking the Action and its location | U.S. Securities and Exchange Commission, Washington, D.C. |
| 10(c)(1)(v). Description of the Action | Order instituting administrative and cease-and-desist proceedings pursuant to Section 8A of the Securities Act of 1933, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940. |
| 10(c)(1)(vi). The disposition of the proceeding | On the basis of the Order and DAA'S offer of settlement, the SEC found that the matter involved violations relating to the structuring, sales, and marketing of a $1.6 billion collateralized debt obligation known as Delphinus CDO 2007-1 Ltd. |
| 10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? | Yes No |
Entity information Related to item 10(c)(2) Record: 1
| 10(c)(2)(i). The individuals named in the Action | Continental Investment Corporation, Waddell & Reed, Inc. and Kansas City Securities Corporation |
| 10(c)(2)(ii). Title of Action | Continental Investment Corporation, et al. |
| 10(c)(2)(iii). Date of Action | 10/11/1972 |
| 10(c)(2)(iv). The Court or body taking the Action and its location | Securities and Exchange Commission |
| 10(c)(2)(v). Description of the Action | Administrative Proceeding |
| 10(c)(2)(vi). The disposition of the proceeding | Consent Order |
Entity information Related to item 10(c)(2) Record: 2
| 10(c)(2)(i). The individuals named in the Action | DELAWARE MANAGEMENT BUSINESS TRUST (CRD #105390; Currently Macquarie Investment Management Business Trust) |
| 10(c)(2)(ii). Title of Action | N/A |
| 10(c)(2)(iii). Date of Action | 07/18/2012 |
| 10(c)(2)(iv). The Court or body taking the Action and its location | UNITED STATES SECURITIES AND EXCHANGE COMMISSION |
| 10(c)(2)(v). Description of the Action | ON THE BASIS OF THE ORDER AND THE OFFER OF SETTLEMENT BY DELAWARE ASSET ADVISERS, A SERIES OF DELAWARE MANAGEMENT BUSINESS TRUST, WHICH IS A CONTROL AFFILIATE OF DELAWARE DISTRIBUTORS, L.P., THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION FOUND THAT THE MATTER INVOLVED VIOLATIONS IN CONNECTION WITH THE STRUCTURING, SALES, AND MARKETING OF A $1.6 BILLION COLLATERALIZED DEBT OBLIGATION KNOWN AS DELPHINUS CDO 2007-1 LTD., WHICH CLOSED ON JULY 19, 2007. (SEC FILE NO. 3-14942) |
| 10(c)(2)(vi). The disposition of the proceeding | Decision & Order of Offer of Settlement. A TOTAL AMOUNT OF $4,814,520, REPRESENTING DISGORGED FEES ($2,228,372), INTEREST ($357,776), AND A PENALTY ($2,228,372) WAS PAID ON 07/20/2012. N JULY 2012, DELAWARE ASSET ADVISERS (DAA) ENTERED INTO A SETTLEMENT |
Entity information Related to item 10(c)(2) Record: 3
| 10(c)(2)(i). The individuals named in the Action | DELAWARE SERVICE COMPANY |
| 10(c)(2)(ii). Title of Action | N/A |
| 10(c)(2)(iii). Date of Action | 08/31/2006 |
| 10(c)(2)(iv). The Court or body taking the Action and its location | SECURITIES AND EXCHANGE COMMISSION (SEC) |
| 10(c)(2)(v). Description of the Action | DELAWARE SERVICE COMPANY, INC. (DSC), AN ACCOUNTING AND ADMINISTRATIVE SERVICE PROVIDER TO SEVERAL FUNDS, WAS FOUND TO HAVE VIOLATED SECTIONS 19(A) AND 34(B) OF THE INVESTMENT COMPANY ACT OF 1940. |
| 10(c)(2)(vi). The disposition of the proceeding | ON 09/18/2006, DSC PAID THE ENTIRE AMOUNT OF THE FINE ($425,000.00). THE SEC FOUND THAT DSC FAILED TO SEND THE REQUIRED SECTION 19(A) NOTICES ON BEHALF OF THREE CLOSED-END INVESTMENT COMPANIES THAT MADE DISTRIBUTIONS TO SHAREHOLDERS PURSUANT TO MANAGED |
Entity information Related to item 10(c)(2) Record: 4
| 10(c)(2)(i). The individuals named in the Action | Delaware Asset Advisers and Wei (Alex) Wei |
| 10(c)(2)(ii). Title of Action | In the Matter of Delaware Asset Advisers and Wei (Alex) Wei |
| 10(c)(2)(iii). Date of Action | 07/18/2012 |
| 10(c)(2)(iv). The Court or body taking the Action and its location | U.S. Securities and Exchange Commission, Washington, D.C. |
| 10(c)(2)(v). Description of the Action | Order instituting administrative and cease-and-desist proceedings pursuant to Section 8A of the Securities Act of 1933, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940. |
| 10(c)(2)(vi). The disposition of the proceeding | On the basis of the Order and DAA'S offer of settlement, the SEC found that the matter involved violations relating to the structuring, sales, and marketing of a $1.6 billion collateralized debt obligation known as Delphinus CDO 2007-1 Ltd. |
Entity information Related to item 10(c)(2) Record: 5
| 10(c)(2)(i). The individuals named in the Action | Macquarie Capital (USA) Inc. |
| 10(c)(2)(ii). Title of Action | Securities and Exchange Commission v. Macquarie Capital (USA) Inc., et al. |
| 10(c)(2)(iii). Date of Action | 03/27/2015 |
| 10(c)(2)(iv). The Court or body taking the Action and its location | U.S. District Court for the Southern District of New York |
| 10(c)(2)(v). Description of the Action | According to the SEC Complaint, MCUSA was the lead underwriter on a 2010 secondary public stock offering by Puda Coal, which traded on the New York Stock Exchange at the time and purportedly owned a coal company in the Peoples Republic of China. According to the SEC Complaint, in the offering documents, Puda Coal falsely claimed that it held a 90 percent ownership interest in the Chinese coal company. According to the SEC Complaint, MCUSA repeated those statements in its marketing materials for the offering despite obtaining a report showing that Puda Coal did not possess an ownership interest in the coal company. The Court Order requires MCUSA to pay $12 million in disgorgement and prejudgment interest and a civil monetary penalty in the amount of $3 million. |
| 10(c)(2)(vi). The disposition of the proceeding | ASIC and MEL entered into an enforceable undertaking on January 24, 2013. MEL has agreed to conduct an assessment of its licensee framework, implement a plan for any deficiencies, engage an independent expert to assess plan, and agree the plan with ASIC. |
Entity information Related to item 10(c)(2) Record: 6
| 10(c)(2)(i). The individuals named in the Action | Macquarie Capital Investment Management LLC, et al |
| 10(c)(2)(ii). Title of Action | In the Matter of Macquarie Capital Investment Management LLC, et al. |
| 10(c)(2)(iii). Date of Action | 07/07/2015 |
| 10(c)(2)(iv). The Court or body taking the Action and its location | U.S. Securities and Exchange Commission, Washington, D.C. |
| 10(c)(2)(v). Description of the Action | Order instituting cease-and-desist proceedings pursuant to Section 9(f) of the Investment Company Act of 1940, making findings and imposing a cease-and-desist order. |
| 10(c)(2)(vi). The disposition of the proceeding | The SEC Order found that Respondents violated Section 9(a) of the Investment Company Act from April 1, 2015 through May 15, 2015. Without admitting or denying the validity of the SECs findings, Respondents each agreed to pay a penalty of $20,000. |
| 10(c)(3). found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? | Yes No |
| 10(c)(4). entered an order denying, suspending or revoking the applicant’s or control affiliate’s registration or otherwise disciplined it by restricting its activities? | Yes No |
Entity information Related to item 10(c)(4) Record: 1
| 10(c)(4)(i). The individuals named in the Action | DELAWARE MANAGEMENT BUSINESS TRUST (CRD #105390; Currently Macquarie Investment Management Business Trust) |
| 10(c)(4)(ii). Title of Action | N/A |
| 10(c)(4)(iii). Date of Action | 07/18/2012 |
| 10(c)(4)(iv). The Court or body taking the Action and its location | UNITED STATES SECURITIES AND EXCHANGE COMMISSION |
| 10(c)(4)(v). Description of the Action | ON THE BASIS OF THE ORDER AND THE OFFER OF SETTLEMENT BY DELAWARE ASSET ADVISERS, A SERIES OF DELAWARE MANAGEMENT BUSINESS TRUST, WHICH IS A CONTROL AFFILIATE OF DELAWARE DISTRIBUTORS, L.P., THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION FOUND THAT THE MATTER INVOLVED VIOLATIONS IN CONNECTION WITH THE STRUCTURING, SALES, AND MARKETING OF A $1.6 BILLION COLLATERALIZED DEBT OBLIGATION KNOWN AS DELPHINUS CDO 2007-1 LTD., WHICH CLOSED ON JULY 19, 2007. (SEC FILE NO. 3-14942) |
| 10(c)(4)(vi). The disposition of the proceeding | Decision & Order of Offer of Settlement. A TOTAL AMOUNT OF $4,814,520, REPRESENTING DISGORGED FEES ($2,228,372), INTEREST ($357,776), AND A PENALTY ($2,228,372) WAS PAID ON 07/20/2012. N JULY 2012, DELAWARE ASSET ADVISERS (DAA) ENTERED INTO A SETTLEMENT |
Entity information Related to item 10(c)(4) Record: 2
| 10(c)(4)(i). The individuals named in the Action | Delaware Distributors, L.P. (CRD #14232) |
| 10(c)(4)(ii). Title of Action | N/A |
| 10(c)(4)(iii). Date of Action | 10/19/2009 |
| 10(c)(4)(iv). The Court or body taking the Action and its location | DIVISION OF SECURITIES OF THE OFFICE OF THE MARYLAND ATTORNEY GENERAL |
| 10(c)(4)(v). Description of the Action | THAT DELAWARE DISTRIBUTORS, L.P. FAILED TO FILE CORRECT SALES REPORTS FOR TWO SHARE CLASSES OF FOUR FUNDS. |
| 10(c)(4)(vi). The disposition of the proceeding | THE TOTAL AMOUNT PAID WAS $12,257.50 OF WHICH $8,000.00 WAS FOR CIVIL MONETARY PENALTIES AND $4,257.50 WAS FOR BACK FEES AND INTEREST DUE FOR FILLINGS THAT SHOULD HAVE BEEN MADE. THE FINE WAS PAID IN OCTOBER OF 2009. DELAWARE DISTRIBUTORS, L.P. WITHOUT |
Entity information Related to item 10(c)(4) Record: 3
| 10(c)(4)(i). The individuals named in the Action | DELAWARE DISTRIBUTORS, L.P.; FOUR CORNERS CAPITAL MANAGEMENT; MACQUARIE CAPITAL (USA); MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC; AND MACQUARIE FUND |
| 10(c)(4)(ii). Title of Action | N/A |
| 10(c)(4)(iii). Date of Action | 07/07/2015 |
| 10(c)(4)(iv). The Court or body taking the Action and its location | UNITED STATES SECURITIES AND EXCHANGE COMMISSION |
| 10(c)(4)(v). Description of the Action | SEC ADMIN RELEASE INVESTMENT COMPANY ACT 40-31706 / JULY 7, 2015: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE THAT CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST RESPONDENT. ON THE BASIS OF THIS ORDER AND THE RESPONDENT'S OFFER, THE COMMISSION FINDS THAT: ON MARCH 27, 2015, THE COMMISSION FILED A COMPLAINT IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK AGAINST MACQUARIE CAPITAL (USA) INC. ("MCUSA"), A DELAWARE CORPORATION, AND TWO FORMER MCUSA BANKERS ("SEC ACTION"), ALLEGING VIOLATIONS OF SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT") IN CONNECTION WITH MCUSA'S ROLE AS THE LEAD UNDERWRITER ON A SECONDARY PUBLIC STOCK OFFERING IN DECEMBER 2010 BY AN ENTITY, WHICH TRADED ON THE NEW YORK STOCK EXCHANGE AT THE TIME AND PURPORTED TO OWN A COAL COMPANY IN THE PEOPLE'S REPUBLIC OF CHINA. ON APRIL 1, 2015, THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK ENTERED FINAL CONSENT JUDGMENTS IN THE SEC ACTION THAT, IN RELEVANT PART, PERMANENTLY ENJOINED MCUSA AND ITS TWO FORMER BANKERS FROM VIOLATING SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT. IN ADVANCE OF ITS CONSENT TO THE JUDGMENT IN THE SEC ACTION, MCUSA RECEIVED AND RELIED ON ADVICE FROM ITS OUTSIDE COUNSEL REGARDING POTENTIAL COLLATERAL CONSEQUENCES OF THE PROPOSED INJUNCTION. THE RESPONDENT AND OTHERS SERVED AS AN INVESTMENT ADVISER, SUB-ADVISER, OR PRINCIPAL UNDERWRITER TO REGISTERED INVESTMENT COMPANIES AFTER THE ENTRY OF THE PERMANENT INJUNCTION AGAINST MCUSA ON APRIL 1, 2015 ("INJUNCTION"). WHEN THE INJUNCTION WAS ENTERED, THE RESPONDENT DID NOT HAVE EXEMPTIVE RELIEF FROM SECTION 9(A) OF THE INVESTMENT COMPANY ACT. AFTER BECOMING AWARE OF THE INJUNCTION, THE RESPONDENT CONTACTED COMMISSION STAFF ON APRIL 7, 2015 TO COMMENCE THE PROCESS FOR OBTAINING EXEMPTIVE RELIEF FROM SECTION 9(A) OF THE INVESTMENT COMPANY ACT. ON MAY 15, 2015, THE DIVISION OF INVESTMENT MANAGEMENT, ACTING UNDER DELEGATED AUTHORITY FROM THE COMMISSION, GRANTED TEMPORARY EXEMPTIVE RELIEF FROM SECTION 9(A) OF THE INVESTMENT COMPANY ACT WITH RESPECT TO THE INJUNCTION. PURSUANT TO SECTION 9(A)(2) OF THE INVESTMENT COMPANY ACT, THE ENTRY OF THE INJUNCTION DISQUALIFIED MCUSA FROM ENGAGING IN FUND SERVICE ACTIVITIES AS OF APRIL 1, 2015. SECTION 9(A)(3) OF THE INVESTMENT COMPANY ACT EXTENDS THE PROHIBITIONS OF SECTION 9(A)(2) TO ANY COMPANY, ANY "AFFILIATED PERSON" OF WHICH IS DISQUALIFIED FROM PERFORMING FUND SERVICE ACTIVITIES UNDER THE PROVISIONS OF SECTION 9(A)(2). THE TERM "AFFILIATED PERSON" IS DEFINED IN SECTION 2(A)(3) OF THE INVESTMENT COMPANY ACT TO INCLUDE, AMONG OTHERS, "ANY PERSON DIRECTLY OR INDIRECTLY CONTROLLING, CONTROLLED BY, OR UNDER COMMON CONTROL WITH, SUCH OTHER PERSON." ALTHOUGH MCUSA DID NOT AND DOES NOT ENGAGE IN FUND SERVICE ACTIVITIES, MCUSA IS AN AFFILIATED PERSON OF EACH OF THE RESPONDENT WITHIN THE MEANING OF SECTION 2(A)(3) OF THE INVESTMENT COMPANY ACT. AS A RESULT OF THE ENTRY OF THE INJUNCTION AGAINST MCUSA, SECTIONS 9(A)(2) AND 9(A)(3) OF THE INVESTMENT COMPANY ACT TOGETHER ALSO PROHIBITED THE RESPONDENT FROM ENGAGING IN FUND SERVICE ACTIVITIES AS OF APRIL 1, 2015. THE RESPONDENT AND OTHERS WERE ENGAGED IN ONE OR MORE FUND SERVICE ACTIVITIES AS OF APRIL 1, 2015 AND, NOTWITHSTANDING THE ENTRY OF THE INJUNCTION ON THAT DATE, CONTINUED TO ENGAGE IN ONE OR MORE FUND SERVICE ACTIVITIES AFTER APRIL 1, 2015, AND AS NOTED ABOVE, THE RESPONDENT DID NOT CONTACT THE COMMISSION STAFF TO BEGIN THE PROCESS OF OBTAINING EXEMPTIVE RELIEF UNTIL APRIL 7, 2015. AS A RESULT OF THE CONDUCT, THE RESPONDENT VIOLATED SECTION 9(A) OF THE INVESTMENT COMPANY ACT. |
| 10(c)(4)(vi). The disposition of the proceeding | THE RESPONDENT SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 9(A) OF THE INVESTMENT COMPANY ACT AND PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $20,000. IN ANTICIPATION OF THE INSTITUTION OF THESE |
| 10(d). Has any other Federal regulatory agency or any state regulatory agency : | |
| 10(d)(1). ever found the applicant or control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? | Yes No |
| 10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? | Yes No |
Entity information Related to item 10(d)(2) Record: 1
| 10(d)(2)(i). The individuals named in the Action | DELAWARE DISTRIBUTORS, L.P. |
| 10(d)(2)(ii). Title of Action | N/A |
| 10(d)(2)(iii). Date of Action | 05/07/1993 |
| 10(d)(2)(iv). The Court or body taking the Action and its location | VERMONT DEPARTMENT OF BANKING, SECURITIES DIVISION |
| 10(d)(2)(v). Description of the Action | THAT DELAWARE DISTRIBUTORS, INC., WHO WAS SUCCEEDED BY DELAWARE DISTRIBUTORS, L.P., MADE SALES OF FOUR DELAWARE FUNDS WHICH HAD FAILED TO RENEW THEIR REGISTRATIONS IN A TIMELY MANNER. THE FAILURE TO RENEW OCCURRED WHEN VERMONT'S SECURITIES LAWS UNDERWENT A CHANGE IN THE RENEWAL PROCEDURE. |
| 10(d)(2)(vi). The disposition of the proceeding | CONSENT. TOTAL AMOUNT PAID WAS $8000 OF WHICH $3000 WAS FOR ADMINISTRATIVE PENALTIES, $1000 WAS FOR REGISTRATION FEES, AND $4000 WAS TO DEFRAY THE COSTS OF THE INVESTIGATION. THIS WAS LEVIED AGAINST DELAWARE DISTRIBUTORS, WHICH WAS THE PREDECESSOR TO |
Entity information Related to item 10(d)(2) Record: 2
| 10(d)(2)(i). The individuals named in the Action | IVY DISTRIBUTORS, INC. |
| 10(d)(2)(ii). Title of Action | N/A |
| 10(d)(2)(iii). Date of Action | 06/25/1992 |
| 10(d)(2)(iv). The Court or body taking the Action and its location | STATE OF IOWA |
| 10(d)(2)(v). Description of the Action | IVY DISTRIBUTORS, INC. FAILED TO SUPPLY TO THE IOWA SECURITIES BUREAU INFORMATION NEEDED TO COMPLETE ITS APPLICATION FILED ON MARCH 2, 1992 TO REGISTER IN THE STATE OF IOWA AS A BROKER-DEALER. |
| 10(d)(2)(vi). The disposition of the proceeding | DENIAL OF APPLICATION FOR REGISTRATION WAS WITHOUT PREJUDICE. NO ORDER ISSUED |
Entity information Related to item 10(d)(2) Record: 3
| 10(d)(2)(i). The individuals named in the Action | DELAWARE DISTRIBUTORS, L.P. |
| 10(d)(2)(ii). Title of Action | N/A |
| 10(d)(2)(iii). Date of Action | 10/19/2009 |
| 10(d)(2)(iv). The Court or body taking the Action and its location | DIVISION OF SECURITIES OF THE OFFICE OF THE MARYLAND ATTORNEY GENERAL |
| 10(d)(2)(v). Description of the Action | THAT DELAWARE DISTRIBUTORS, L.P. FAILED TO FILE CORRECT SALES REPORTS FOR TWO SHARE CLASSES OF FOUR FUNDS. |
| 10(d)(2)(vi). The disposition of the proceeding | THE TOTAL AMOUNT PAID WAS $12,257.50 OF WHICH $8,000.00 WAS FOR CIVIL MONETARY PENALTIES AND $4,257.50 WAS FOR BACK FEES AND INTEREST DUE FOR FILLINGS THAT SHOULD HAVE BEEN MADE. THE FINE WAS PAID IN OCTOBER OF 2009. DELAWARE DISTRIBUTORS, L.P. WITHOUT |
| 10(d)(3). ever found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business Denied, suspended, revoked or restricted? | Yes No |
| 10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? | Yes No |
| 10(d)(5). ever denied, suspended, or revoked applicant’s or control affiliate’s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? | Yes No |
| 10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant? | Yes No |
| 10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? | Yes No |
| 10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? | Yes No |
Entity information Related to item 10(e)(2) Record: 1
| 10(e)(2)(i). The individuals named in the Action | MACQUARIE FUTURES USA LLC |
| 10(e)(2)(ii). Title of Action | N/A |
| 10(e)(2)(iii). Date of Action | 08/14/2020 |
| 10(e)(2)(iv). The Court or body taking the Action and its location | ICE FUTURES U.S., INC |
| 10(e)(2)(v). Description of the Action | ICE FUTURES U.S., INC. ("IFUS" OR "EXCHANGE") ALLEGED THAT MACQUARIE FUTURES USA LLC (MFUSA) VIOLATED IFUS RULE 4.15(B) BY FAILING TO POPULATE UNIQUE IDENTIFICATIONS FOR REGISTERED OPERATORS WHEN SUBMITTING ORDERS TO THE EXCHANGE'S ELECTRONIC TRADING SYSTEM BETWEEN DECEMBER 2017 AND FEBRUARY 2019. THE BUSINESS CONDUCT COMMITTEE DETERMINED THAT THIS APPEARED TO BE THE RESULT OF A SOFTWARE GLITCH ON THE PART OF THE THIRD PARTY, WHICH OVERRODE UNIQUE IDS ASSIGNED BY MACQUARIE AND CAUSED CERTAIN ORDERS TRANSMITTED TO THE EXCHANGE TO REFLECT VARIOUS NON-UNIQUE IDS. AFTER BEING MADE AWARE OF THE ISSUE BY THE EXCHANGE, MACQUARIE IDENTIFIED THE SOFTWARE GLITCH AND TOOK ACTIONS TO CORRECT IT. |
| 10(e)(2)(vi). The disposition of the proceeding | FINE OF $55000 PAID BY MACQUARIE FUTURES USA LLC |
Entity information Related to item 10(e)(2) Record: 2
| 10(e)(2)(i). The individuals named in the Action | MACQUARIE FUTURES USA LLC |
| 10(e)(2)(ii). Title of Action | N/A |
| 10(e)(2)(iii). Date of Action | 08/26/2019 |
| 10(e)(2)(iv). The Court or body taking the Action and its location | INTERCONTINENTAL EXCHANGE |
| 10(e)(2)(v). Description of the Action | ON APRIL 24, 2019, THE ICE FUTURES US COMMENCED ITS AUDIT TRAIL EXAM OF MFUSA FOR TRADE DATES JANUARY 1, 2017 - DECEMBER 31, 2018. THIS EXAM TESTS MFUSA'S COMPLIANCE WITH GENERATING AND RETAINING AUDIT TRAILS FOR ALL ELECTRONIC TRADING IN ACCORDANCE WITH ICE FUTURES US RULE 4.19. DURING THE COURSE OF THE EXAMINATION, ICE FOUND THAT 3 OUT OF 300 FIELDS OF ELECTRONIC AUDIT TRAIL DATA PROVIDED BY MFUSA WERE INCORRECT. |
| 10(e)(2)(vi). The disposition of the proceeding | FINE OF $5000 PAID BY MACQUARIE FUTURES USA LLC |
Entity information Related to item 10(e)(2) Record: 3
| 10(e)(2)(i). The individuals named in the Action | MACQUARIE FUTURES USA LLC |
| 10(e)(2)(ii). Title of Action | N/A |
| 10(e)(2)(iii). Date of Action | 08/16/2019 |
| 10(e)(2)(iv). The Court or body taking the Action and its location | CHICAGO MERCANTILE EXCHANGE |
| 10(e)(2)(v). Description of the Action | IN ACCORDANCE WITH CME RULE 576. DURING THE COURSE OF THE EXAMINATION, CME FOUND THAT 23 OUT OF 436 TAG50 IDS WERE UNREGISTERED OR INCORRECTLY REGISTERED IN EFS. |
| 10(e)(2)(vi). The disposition of the proceeding | Settled. FINE OF $7,500 PAID BY MACQUARIE FUTURES USA LLC |
Entity information Related to item 10(e)(2) Record: 4
| 10(e)(2)(i). The individuals named in the Action | MACQUARIE FUTURES USA LLC |
| 10(e)(2)(ii). Title of Action | N/A |
| 10(e)(2)(iii). Date of Action | 01/03/2019 |
| 10(e)(2)(iv). The Court or body taking the Action and its location | ICE FUTURES US |
| 10(e)(2)(v). Description of the Action | ON DECEMBER 12, 2018, ICE FUTURES US ("ICE") ISSUED A $5,000 FINE FOR A VIOLATION OF ICE RULE 2.22 TO MACQUARIE FUTURES (USA)INC, AN AFFILIATE OF THE MEMBER. A TECHNICAL SYSTEM ISSUE WITH MFUSA'S SYSTEM FOR REPORTING OPEN FUTURES POSITIONS TO ICE CAUSED IT TO REPORT INACCURATE OPEN INTEREST FOR TRADE DATE NOVEMBER 21, 2018 IN THE NOVEMBER 2018 FCOJ-A FUTURES CONTRACT. |
| 10(e)(2)(vi). The disposition of the proceeding | Settled. INE OF $5,000 PAID BY MACQUARIE FUTURES USA LLC |
Entity information Related to item 10(e)(2) Record: 5
| 10(e)(2)(i). The individuals named in the Action | MACQUARIE FUTURES USA LLC |
| 10(e)(2)(ii). Title of Action | N/A |
| 10(e)(2)(iii). Date of Action | 07/20/2018 |
| 10(e)(2)(iv). The Court or body taking the Action and its location | CHICAGO MERCANTILE EXCHANGE |
| 10(e)(2)(v). Description of the Action | ON JULY 18, 2018, THE CHICAGO MERCANTILE EXCHANGE ("CME") ISSUED A $4,000 FINE FOR A VIOLATION OF RULE 576 TO MACQUARIE FUTURES (USA)(MFUSA), AN AFFILIATE OF THE MEMBER. THE MATTER WAS IDENTIFIED DURING THE COURSE OF A ROUTINE REGULATORY EXAMINATION OF MFUSA BY THE CME WHERE THEY IDENTIFIED THAT TWO TAG 50 IDS APPEARED TO HAVE BEEN UTILIZED IN A MANNER INCONSISTENT WITH THE REQUIREMENTS OF RULE 576 ("IDENTIFICATION OF GLOBEX TERMINAL OPERATORS"). THE TAG 50 IDS HAD INCORRECT REGISTRATION INFORMATION IN THE EXCHANGE FEE SYSTEM. |
| 10(e)(2)(vi). The disposition of the proceeding | Settled. FINE OF $4,000 PAID |
Entity information Related to item 10(e)(2) Record: 6
| 10(e)(2)(i). The individuals named in the Action | MACQUARIE FUTURES USA LLC |
| 10(e)(2)(ii). Title of Action | N/A |
| 10(e)(2)(iii). Date of Action | 12/11/2015 |
| 10(e)(2)(iv). The Court or body taking the Action and its location | CME GROUP |
| 10(e)(2)(v). Description of the Action | COMPLIANCE WITH CBOT 970.A.1 MINIMUM CAPITAL REQUIREMENTS |
| 10(e)(2)(vi). The disposition of the proceeding | Settled. WITHOUT ADMITTING OR DENYING THE FINDINGS UPON WHICH THE PENALTY IS BASED, MACQUARIE FUTURES USA LLC PAID A FINE OF $25,000. |
Entity information Related to item 10(e)(2) Record: 7
| 10(e)(2)(i). The individuals named in the Action | MACQUARIE EQUITIES LTD |
| 10(e)(2)(ii). Title of Action | N/A |
| 10(e)(2)(iii). Date of Action | 12/17/2015 |
| 10(e)(2)(iv). The Court or body taking the Action and its location | CME GROUP |
| 10(e)(2)(v). Description of the Action | COMPLIANCE WITH CME RULE 538.H. |
| 10(e)(2)(vi). The disposition of the proceeding | WITHOUT ADMITTING OR DENYING THE RULE VIOLATIONS, MACQUARIE HAS AGREED TO THE SETTLEMENT OF THIS MATTER. $7,000 FINE. |
| 10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? | Yes No |
| 10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? | Yes No |
| 10(f). Has any foreign government, court, regulatory agency or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? | Yes No |
Entity information Related to item 10(f) Record: 1
| 10(f)(i). The individuals named in the Action | Macquarie Equities Limited (MEL) |
| 10(f)(ii). Title of Action | In the Matter of Macquarie Equities Limited |
| 10(f)(iii). Date of Action | 01/24/2013 |
| 10(f)(iv). The Court or body taking the Action and its location | Australian Securities and Investments Commission (ASIC) |
| 10(f)(v). Description of the Action | ASIC alleged MEL may have failed to meet its obligations under the Australian Corporations Act 2001 |
| 10(f)(vi). The disposition of the proceeding | ASIC and MEL entered into an enforceable undertaking on January 24, 2013. MEL has agreed to conduct an assessment of its licensee framework, implement a plan for any deficiencies, engage an independent expert to assess plan, and agree the plan with ASIC. |
Entity information Related to item 10(f) Record: 2
| 10(f)(i). The individuals named in the Action | MACQUARIE SECURITIES AUSTRALIA LIMITED (MSAL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 05/12/2021 |
| 10(f)(iv). The Court or body taking the Action and its location | AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION (ASIC) |
| 10(f)(v). Description of the Action | ASIC REFERRED MSAL TO THE MARKETS DISCIPLINARY PANEL (MDP) ALLEGING THAT, IN THE COURSE OF EXECUTING BUY-BACK TRANSACTIONS FOR A CLIENT THROUGH ASX CENTRE POINT USING ITS PARTICIPANT FUNCTIONALITY, MSAL CONTRAVENED THE MARKET INTEGRITY RULES (MIRS) BY (I) EXECUTING THE ORDERS OTHER THAN IN ACCORDANCE WITH ITS CLIENT'S INSTRUCTIONS THAT THEY BE EXECUTED IN THE ORDINARY COURSE OF TRADING; AND (II) CAUSING THE MARKET FOR THE CLIENT'S SHARES TO BE NOT FAIR AND ORDERLY. |
| 10(f)(vi). The disposition of the proceeding | SETTLED. FINE OF $126,000 PAID BY MSAL. ON 04/19/2021, THE MDP ISSUED AN INFRINGEMENT NOTICE PROVIDING THAT IT HAS REASONABLE GROUNDS TO BELIEVE THAT MSAL FAILED TO ACT IN ACCORDANCE WITH CLIENT INSTRUCTIONS IN CONTRAVENTION OF THE MARKET INTEGRITY RULES |
Entity information Related to item 10(f) Record: 3
| 10(f)(i). The individuals named in the Action | MACQUARIE SECURITIES KOREA LTD |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 10/05/2020 |
| 10(f)(iv). The Court or body taking the Action and its location | KOREA EXCHANGE (KRX) |
| 10(f)(v). Description of the Action | ACCORDING TO THE KRX'S MARKET REGULATION, WHEN A BROKER (SUCH AS MSKL) PLACES ORDERS OF 15 OR MORE OF THE KOSPI STOCKS FOR ONE DIRECTION OF ONE CLIENT AT THE SAME TIME, THE BROKER IS REQUIRED TO PUT PROPER PT FLAGGING FOR SUCH ORDERS TO THE MARKET. THE KRS'S OWN MONITORING SYSTEM ALSO IDENTIFIED THE MISSED FLAGGING, FOLLOWING WHICH THE KRX NOTIFIED MSKL THAT IT WILL CONDUCT AN OFFICIAL INVESTIGATION INTO THIS MATTER OF FORMALITY. THIS INVESTIGATION INVOLVES REQUESTING MSKL'S CONFIRMATION THAT IT HAS BREACHED THE RELEVANT REGULATION. ACCORDING TO THE KRX'S MARKET SUPERVISORY REGULATIONS, A BREACH AGAINST PT FLAGGING REQUIREMENTS IS THE SUBJECT OF A SUMMARY FINE AND THE AMOUNT THIS FINE IS TO BE KRW 1 MILLION (APPRX USD850.00). |
| 10(f)(vi). The disposition of the proceeding | KRW 1 MILLION (APPROXIMATELY USD850.00) PAID OCTOBER 5, 2020. |
Entity information Related to item 10(f) Record: 4
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 02/05/2020 |
| 10(f)(iv). The Court or body taking the Action and its location | AUSTRALIAN SECURITIES EXCHANGE (ASX) |
| 10(f)(v). Description of the Action | THE AUSTRALIAN SECURITIES EXCHANGE ALLEDGED THAT MACQUARIE BANK LIMITED DID NOT COMPLY WITH ASX CLEAR (FUTURES) OPERATING RULES 43.1/44.4 BY FAILING TO PAY TO ASX CLEAR (FUTURES) THE INITIAL MARGIN/DAILY SETTLEMENT AMOUNT BY THE PRESCRIBED TIME OF 11:00AM. |
| 10(f)(vi). The disposition of the proceeding | Decision & Order of Offer of Settlement. FINE OF AUD $20,000. (USD $13,230.00) PAID BY CONTROL AFFILIATE ON 2/5/2020. THE ASX ALLEGED THAT THE CONTROL AFFILIATE DID NOT COMPLY WITH ASX CLEAR (FUTURES) OPERATING RULES 43.1/44.4 BY FAILING TO PAY THE |
Entity information Related to item 10(f) Record: 5
| 10(f)(i). The individuals named in the Action | MACQUARIE SECURITIES (NZ) LIMITED |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 03/14/2019 |
| 10(f)(iv). The Court or body taking the Action and its location | NZX LIMITED |
| 10(f)(v). Description of the Action | ON 14 MARCH 2019, THE NEW ZEALAND MARKETS DISCIPLINARY TRIBUNAL ISSUED AN INFRINGEMENT NOTICE AND PENALTY OF NZD 20,000 TO MACQUARIE SECURITIES (NZ) LIMITED ("MSNZ"), AN AFFILIATE OF THE MEMBER. THE AFFILIATE WAS FOUND TO HAVE VIOLATED THE NEW ZEALAND MARKETS PARTICIPANT RULES CAUSED BY SEVERAL TRADES EFFECTED BY A CLIENT OF MSNZ DURING 2017 WHICH DID NOT RESULT IN A CHANGE IN BENEFICIAL OWNERSHIP. |
| 10(f)(vi). The disposition of the proceeding | SETTLED. FINE OF $20,000 PAID BY MACQUARIE SECURITIES (NZ) LIMITED (MAQA) |
Entity information Related to item 10(f) Record: 6
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 03/09/2016 |
| 10(f)(iv). The Court or body taking the Action and its location | AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION |
| 10(f)(v). Description of the Action | THE ADDITIONAL CONDITIONS WERE IMPOSED ON MACQUARIE FOLLOWING AN INVESTIGATION BY ASIC INTO A SERIES OF BREACH REPORTS LODGED BY MACQUARIE RELATING TO BREACHES OF THE CLIENT MONEY PROVISIONS OF THE CORPORATIONS ACT, BETWEEN MARCH 2004 TO 2014. |
| 10(f)(vi). The disposition of the proceeding | ORDER. AS OF MARCH 10, 2016, MACQUARIE HAS APPLIED TO THE ADMINISTRATIVE APPEALS TRIBUNAL (AAT) FOR REVIEW OF AN AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION (ASIC) DECISION REGARDING CLIENT MONEY. ASIC'S DECISION SEEKS TO IMPOSE LICENSE CONDITIONS |
Entity information Related to item 10(f) Record: 7
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 05/31/2021 |
| 10(f)(iv). The Court or body taking the Action and its location | AUSTRALIAN STOCK EXCHANGE ("ASX") |
| 10(f)(v). Description of the Action | ASX'S DISCIPLINARY TRIBUNAL FOUND THAT MBL WAS NOT IN COMPLIANCE WITH RULES 3.1.13 AND 3.1.14 OF THE SYDNEY FUTURES EXCHANGE IN THAT IT HAD PRE-ARANGED A TRADE AND TRADED TO THE EXCLUSION OF OTHERS IN THE SPI FUTURES OPTIONS. |
| 10(f)(vi). The disposition of the proceeding | Decision. A FINE OF A$40,000 WAS PAID BY MBL ON 17 JUNE 2011. |
Entity information Related to item 10(f) Record: 8
| 10(f)(i). The individuals named in the Action | MACQUARIE CAPITAL SECURITIES (MALAYSIA) SDN BHD (MCSM) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 12/22/2010 |
| 10(f)(iv). The Court or body taking the Action and its location | BURSA MALAYSIA BERHAD ("BURSA") |
| 10(f)(v). Description of the Action | BURSA FOUND THAT MCSM WAS NOT IN COMPLIANCE WITH RULES 404.1(1), 404.1(7)(B)&(C) AND 1205.1(4) OF THE RULES OF BURSA SECURITIES IN THAT CERTAIN CLIENT TRADES WERE EXECUTED IN EXCESS OF THE CLIENTS' ORDERS. |
| 10(f)(vi). The disposition of the proceeding | DECISION. A FINE OF A$16,100 WAS PAID BY MCSM ON DECEMBER 22, 2010. |
Entity information Related to item 10(f) Record: 9
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 09/21/2010 |
| 10(f)(iv). The Court or body taking the Action and its location | AUSTRALIAN SECURITIES EXCHANGE (ASX) |
| 10(f)(v). Description of the Action | THE ASX ALLEGED THAT MBL WAS NOT IN COMPLETE COMPLIANCE WITH SYDNEY FUTURES EXCHANGE OPERATING RULE 3.1.10(A), RULE 3.1.11, RULE 3.1.13, RULE 3.1.7, RULE 3.1.14 AND RULE 3.1.16(B). |
| 10(f)(vi). The disposition of the proceeding | A FINE OF A$50,000 WAS PAID BY MBL ON OCTOBER 7, 2010. IN ITS FINAL WRITTEN DETERMINATION, ASX ACKNOWLEDGED THAT: (A) THE INITIAL EVENT WAS BASED ON A GENUINE MISTAKE; (B) THE MATTER WAS SELF-REPORTED IN A TIMELY FASHION; (C) MBL FULLY CO-OPERATED WITH |
Entity information Related to item 10(f) Record: 10
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 03/31/2008 |
| 10(f)(iv). The Court or body taking the Action and its location | SYDNEY FUTURES EXCHANGE |
| 10(f)(v). Description of the Action | SELF-REPORT BY MACQUARIE BANK LIMITED, OF VIOLATION ARISING FROM FUTURES TRADING ACTIVITY ON MARCH 7, 2008, TO THE SFE. FOLLOWING THE SELF-REPORT BY MACQUARIE BANK LIMITED, SFE ALLEGED THAT MBL HAD BREACHED THE SFE OPERATING RULE 3.1.20 RELATING TO TRADE ALLOCATION. |
| 10(f)(vi). The disposition of the proceeding | ORDER. FINE OF AUSTRALIAN $4,000 WAS PAID BY THE ADVISOR AFFILIATE. |
Entity information Related to item 10(f) Record: 11
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 07/22/2008 |
| 10(f)(iv). The Court or body taking the Action and its location | SYDNEY FUTURES EXCHANGE (SFE) |
| 10(f)(v). Description of the Action | ASX MARKETS SUPERVISION SUBMITTED A LETTER TO THE SFE ALLEGING MBL HAD BREACHED THE FOLLOWING ASX RULES: OPERATING RULE 3.1.1 (EXPRESSIONS OF INTEREST); OPERATING RULE 3.1.10 (DISCLOSURE); AND OPERATING RULE 3.1.13 (PRE-ARRANGEMENT). |
| 10(f)(vi). The disposition of the proceeding | ORDER. A FINE OF AUD$5,000 WAS PAID BY THE ADVISORY AFFILIATE FOR BREACH OF OPERATING RULE 3.1.1 AND OPERATING RULE 3.1.10. THE MARKET PRACTICES COMMITTEE OF SFE NOTED THAT THE ADVISORY AFFILIATE WAS FOUND TO HAVE BEEN IN BREACHES OF ASX OPERATING RULES |
Entity information Related to item 10(f) Record: 12
| 10(f)(i). The individuals named in the Action | MACQUARIE EQUITIES LIMITED |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 03/31/2008 |
| 10(f)(iv). The Court or body taking the Action and its location | AUSTRALIAN SECURITIES EXCHANGE (ASX) |
| 10(f)(v). Description of the Action | ON JULY 27, 2007, THE LIQUIDITY CAPITAL OF MACQUARIE EQUITIES LIMITED FELL BELOW ITS TOTAL RISK REQUIREMENT AND THUS VIOLATED THE AUSTRALIAN CLEARING HOUSE RULE. |
| 10(f)(vi). The disposition of the proceeding | ORDER. THE AUSTRALIAN SECURITIES EXCHANGE DISCIPLINARY TRIBUNAL DETERMINED MACQUARIE EQUITIES LIMITED HAD BREACHED THE AUSTRALIAN CLEARING HOUSE RULE REGARDING THE TOTAL RISK REQUIREMENT AND A FINE OF AU$25,000 WAS IMPOSED. ON JULY 30, 2007, MACQUARIE |
Entity information Related to item 10(f) Record: 13
| 10(f)(i). The individuals named in the Action | MACQUARIE EQUITIES (NEW ZEALAND) LIMITED (MENZ) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 03/07/2007 |
| 10(f)(iv). The Court or body taking the Action and its location | NEW ZEALAND STOCK EXCHANGE (NZSE) |
| 10(f)(v). Description of the Action | N/A |
| 10(f)(vi). The disposition of the proceeding | ORDER. FINE OF NZ$9,000 WAS PAID BY CONTROL AFFILIATE IN 2007. THE NZSE ALLEGED THAT MENZ HAD FAILED TO ISSUE WRITTEN CONTRACT NOTES WITHIN THE TIME REQUIRED BY MARKET PARTICIPANT RULES. IN ITS DETERMINATION, THE NZSE NOTED THAT MENZ HAD TAKEN REMEDIAL |
Entity information Related to item 10(f) Record: 14
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 04/27/2007 |
| 10(f)(iv). The Court or body taking the Action and its location | SYDNEY FUTURES EXCHANGE (SFE) |
| 10(f)(v). Description of the Action | THE SFE ALLEGED THAT MBL HAD FAILED TO COMPLY WITH OPERATING RULE 3.1.20 (A) RELATING TO POST-ALLOCATION PROHIBITIONS. |
| 10(f)(vi). The disposition of the proceeding | ORDER. FINE OF A$30,000 WAS PAID BY CONTROL AFFILIATE IN 2007. THE SFE ALLEGED THAT MBL HAD FAILED TO COMPLY WITH OPERATING RULE 3.1.20 (A) RELATING TO POST-ALLOCATION PROHIBITIONS. IN ITS DETERMINATION, THE SFE NOTED THAT MBL HAD SELF-REPORTED THE |
Entity information Related to item 10(f) Record: 15
| 10(f)(i). The individuals named in the Action | MACQUARIE EQUITIES LIMITED (MEL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 01/30/2007 |
| 10(f)(iv). The Court or body taking the Action and its location | AUSTRALIAN SECURITIES EXCHANGE (ASX) |
| 10(f)(v). Description of the Action | THE ASX ALLEGED THAT MEL HAD FAILED TO RETAIN A WARRANT CLIENT AGREEMENT AS REQUIRED UNDER OLD ASX BUSINESS RULE 8.14.1. |
| 10(f)(vi). The disposition of the proceeding | ORDER. FINE OF A$12,000 WAS PAID BY CONTROL AFFILIATE IN 2007. THE ASX ALLEGED THAT MEL HAD FAILED TO RETAIN A WARRANT CLIENT AGREEMENT AS REQUIRED UNDER OLD ASX BUSINESS RULE 8.14.1. IN ITS WRITTEN DETERMINATION, THE ASX NOTED THAT THE BREACH WAS |
Entity information Related to item 10(f) Record: 16
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 10/26/2005 |
| 10(f)(iv). The Court or body taking the Action and its location | SYDNEY FUTURES COMMISSION (SFE) |
| 10(f)(v). Description of the Action | THE SFE ALLEGED THAT MBL HAD BREACHED SFE COMMUNICATIONS AND EXECUTION RULES IN RELATION TO AN EXCHANGE FOR PHYSICAL (EFP) TRANSACTION. |
| 10(f)(vi). The disposition of the proceeding | ORDER. FINE OF A$20,000 WAS PAID BY CONTROL AFFILIATE IN 2005. DURING A ROUTINE REVIEW, THE SFE FOUND CERTAIN DISCREPANCIES IN EXCHANGE FOR PHYSICAL (EFP) TRANSACTIONS EFFECTED BY MBL. AS A RESULT OF ITS INVESTIGATIONS, THE SFE IMPOSED A FINE OF A |
Entity information Related to item 10(f) Record: 17
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 04/27/2004 |
| 10(f)(iv). The Court or body taking the Action and its location | FAIR TRADE COMMISSION OF SOUTH KOREA (FTC) |
| 10(f)(v). Description of the Action | THE FTC ALLEGED THAT MBL WAS 15 DAYS LATE IN FILING A BUSINESS COMBINATION REPORT. |
| 10(f)(vi). The disposition of the proceeding | ORDER. FINE OF A$7,300 WAS PAID BY CONTROL AFFILIATE IN 2004. MBL WAS REQUIRED UNDER KOREAN LAW TO MAKE REGULATORY FILINGS REGARDING CERTAIN HOLDINGS AND ENGAGED LOCAL COUNSEL TO ADVISE IT. RELYING ON LOCAL COUNSEL'S ADVICE, MBL WAS LATE IN MAKING A |
Entity information Related to item 10(f) Record: 18
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 09/04/2003 |
| 10(f)(iv). The Court or body taking the Action and its location | SYDNEY FUTURES COMMISSION (SFE) |
| 10(f)(v). Description of the Action | ORDER. FINE OF A$5,000 WAS PAID BY CONTROL AFFILIATE IN 2002. THE SFE ALLEGED THAT MBL HAD WITHHELD AN ORDER IN RELATION TO A CROSS TRADE, IMPROPERLY DISCLOSED THAT ORDER, DID NOT EXECUTE OR TRANSMIT THE ORDER IN SEQUENCE OF RECEIPT, AND DID NOT FULLY COMPLY WITH A TRADING PROCEDURE. AS A RESULT OF ITS INVESTIGATIONS, THE SFE IMPOSED A FINE OF A$5,000 AND MBL REVIEWED ITS INTERNAL PRACTICES IN THE RELEVANT AREA. |
| 10(f)(vi). The disposition of the proceeding | N/A |
Entity information Related to item 10(f) Record: 19
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 04/14/2002 |
| 10(f)(iv). The Court or body taking the Action and its location | SYDNEY FUTURES COMMISSION (SFE) |
| 10(f)(v). Description of the Action | THE SFE ALLEGED THAT MBL HAD BREACHED SFE RULES IN RELATION TO DISCLOSURE, REGISTRATION, FAILURE TO TAKE AN EXPRESSION OF INTEREST TO THE MARKET, AND FAILURE TO ENTER A CLIENT IDENTIFIER. |
| 10(f)(vi). The disposition of the proceeding | ORDER. FINE OF A$5,000 WAS PAID BY CONTROL AFFILIATE IN 2002. IN 2002, THE SFE ALLEGED THAT MBL HAD BREACHED SFE RULES IN RELATION TO DISCLOSURE, REGISTRATION, FAILURE TO TAKE AN EXPRESSION OF INTEREST TO THE MARKET, AND FAILURE TO ENTER A CLIENT |
Entity information Related to item 10(f) Record: 20
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 06/01/2001 |
| 10(f)(iv). The Court or body taking the Action and its location | SYDNEY FUTURES COMMISSION (SFE) |
| 10(f)(v). Description of the Action | THE SFE ALLEGED THAT MBL HAD BREACHED SFE REQUIREMENTS IN RELATION TO FAILING TO DEAL IN A PROPER MANNER AND RECORD TELEPHONE CALLS. |
| 10(f)(vi). The disposition of the proceeding | ORDER. |
Entity information Related to item 10(f) Record: 21
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 09/01/2001 |
| 10(f)(iv). The Court or body taking the Action and its location | SYDNEY FUTURES COMMISSION (SFE) |
| 10(f)(v). Description of the Action | IN 2001, THE SFE ALLEGED THAT MBL HAD BREACHED SFE REQUIREMENTS IN RELATION TO PRIORITIZING MULTIPLE CLIENTS AND EXCEPTIONS IN REGULATORY REPORTING. |
| 10(f)(vi). The disposition of the proceeding | ORDER. FINE OF A$5,000 WAS PAID BY CONTROL AFFILIATE IN 2001. IN 2001, THE SFE ALLEGED THAT MBL HAD BREACHED SFE REQUIREMENTS IN RELATION TO PRIORITIZING MULTIPLE CLIENTS AND EXCEPTIONS IN REGULATORY REPORTING. AS A RESULT OF ITS INVESTIGATIONS, THE |
Entity information Related to item 10(f) Record: 22
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 01/01/1999 |
| 10(f)(iv). The Court or body taking the Action and its location | SYDNEY FUTURES COMMISSION (SFE) |
| 10(f)(v). Description of the Action | THE SFE ALLEGED THAT MBL HAD BREACHED SFE REQUIREMENTS IN RELATION TO FAILING TO TAKE AN EXPRESSION OF INTEREST TO THE MARKET AND A FAILURE TO RECORD ORDER DETAILS IN RELATION TO A CROSS TRADE. |
| 10(f)(vi). The disposition of the proceeding | ORDER. FINE OF A$5,000 WAS PAID BY CONTROL AFFILIATE IN 1999. IN 1999, THE SFE ALLEGED THAT MBL HAD BREACHED SFE REQUIREMENTS IN RELATION TO FAILING TO TAKE AN EXPRESSION OF INTEREST TO THE MARKET AND A FAILURE TO RECORD ORDER DETAILS IN RELATION TO A |
Entity information Related to item 10(f) Record: 23
| 10(f)(i). The individuals named in the Action | MACQUARIE BANK LIMITED (MBL) |
| 10(f)(ii). Title of Action | N/A |
| 10(f)(iii). Date of Action | 06/01/1997 |
| 10(f)(iv). The Court or body taking the Action and its location | SYDNEY FUTURES EXCHANGE |
| 10(f)(v). Description of the Action | THE SYDNEY FUTURES EXCHANGE ALLEGED THAT MBL HAD BREACHED SFE REQUIREMENTS IN RELATION TO DISCLOSURE, WITHHOLDING INFORMATION AND PREARRANGEMENT IN RELATION TO TRADING AND BROKING OPTIONS. |
| 10(f)(vi). The disposition of the proceeding | ORDER. FINE OF A$5,000 WAS PAID BY CONTROL AFFILIATE IN 1997. AT THE TIME OF THE ALLEGED INFRACTION, MBL WAS IN DISCUSSIONS WITH THE SFE OVER THE OPERATION OF RELEVANT RULES. DURING THESE DISCUSSIONS, MBL WAS OPERATING UNDER THE MISUNDERSTANDING THAT |
| 10(g). Is the applicant or a control affiliate now the subject of a proceeding that could result in a yes answer for questions 10(a) – 10(f) ? | Yes No |
| 10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? | Yes No |
| 10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? | Yes No |
TA-1/A : Signature
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true, correct and complete.| 11(a). Signature of Official responsible for Form: | Jeffrey Clevenger |
| 11(b). Telephone Number: | 913-236-1940 |
| 11(c). Title of Signing Officer: | Chief Compliance Officer |
| 11(d). Date Signed (Month/Day/Year): | 02/09/2022 |