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Expanding regulatory footprint

Europe & UK

Financial Services Authority Federal Financial Supervisory Authority (BaFin)

London Stock Exchange London Metals Exchange

Middle East South Africa

Dubai Financial Services Authority Financial Services Board JSE Limited

United States

Federal Reserve Board Securities and Exchange Commission Financial Industry Regulatory Authority

Commodity Futures Trading Commission Federal Energy Regulatory Commission National Futures Association

Canada

Ontario Securities Commission Toronto Stock Exchange

IIROC

Hong Kong South Korea Singapore India Japan China

Securities and Futures Commission Financial Services Commission Monetary Authority of Singapore Reserve Bank of India Financial Services Agency China Securities Regulatory Commission

Hong Kong Exchange and Clearing Ltd Korea Exchange Singapore Exchange Ltd Securities and Exchange Board of India

  • Business expansion around the globe creates new regulatory obligations

    • e.g. FICC Asian Markets will utilise the Singapore branch of Macquarie Bank Limited

  • Risk Management Group is experienced in managing regulatory relationships with over 100 regulators globally

  • This creates increasing obligations, however to date these have not created an uncommercial burden

Some of Macquarie s main regulatory relationships

North America

Asia

Region EMEA

Regulators

Australia

  • Australian Prudential Regulation Authority

  • Australian Securities and Investments Commission

  • Australian Transaction Reports and Analysis Centre

  • Australian Competition & Consumer Commission

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