Details of Registered Persons' Senior Management …

1 Issued: May 2018 Page 1 of 36 Details of Registered persons ' Senior Management and Investment Employees This information is published in exercise of the Jersey Financial Services Commission s (JFSC) powers under Article 38(1)(da) of the Financial Services (Jersey) Law 1998, as amended. This information is supplied by the Registered persons themselves and is not independently verified by the JFSC. Any queries relating to the information published should therefore be directed to the Registered Person in the first instance. Registered persons are required to update the information to be published on a semi-annual basis as at 1 May and 1 November with ad-hoc amendments submitted should there be any material changes to the information supplied. The information supplied is as at 1 May 2018 unless stated otherwise. Key SM Senior Management IE - Investment Employee Both - Senior Management and Investment Employee Registered persons Senior Management and Investment Employees Page 2 of 36 Issued: May 2018 Contents Contents.

2 2 Aberdeen Private Wealth Management Limited ..4 ACPI FM Limited ..4 ACPI IM Limited ..4 Actus (Life & Pensions) Limited ..4 Advisa Financial Services Limited ..5 Afex Offshore Limited ..5 Alexander Forbes Channel Islands Limited ..5 APW Investors Limited ..6 Ashburton (Jersey) Limited ..6 Asset Risk Consultants (Jersey) Limited ..7 Bank of India, Jersey Barclays Bank plc, Jersey Branch ..7 BNP Paribas Jersey Branch ..7 BNP Paribas Securities Services Jersey Branch ..8 Brewin Dolphin Limited Jersey Branch ..8 Bridport & Co (Jersey) Ltd ..8 Brooks Macdonald Asset Management (International) Limited, Jersey Branch ..9 Brooks Macdonald Retirement Services (International) Limited .. 10 Canaccord Genuity Wealth (International) Limited .. 10 Cherry Godfrey Insurance Services (Jersey) Limited .. 10 Citibank Jersey Branch .. 11 de Carteret Wealth Limited .. 11 Deutsche Bank International Limited .. 12 EFG Private Bank Limited, Jersey Branch .. 12 EFG Wealth Solutions (Jersey) Limited.

3 12 Enhance Wealth Consultancy Limited .. 13 European Insurance Brokers Limited .. 13 Global Advisors (Jersey) Limited .. 14 Global Execution Limited .. 14 Guardian Asset Management 14 Henley Offshore Financial Services Limited .. 14 Homebuyer Financial Services Limited .. 14 HSBC Bank International Limited .. 15 HSBC Bank Plc, Jersey Branch .. 15 Integritas Wealth Partners Limited .. 16 International Asset Monitor Limited, Jersey Branch .. 17 Intertrust Treasury and Investment Limited .. 17 LGT Vestra (Jersey) Limited .. 17 Lloyds Bank International Limited .. 17 Meridian Asset Management ( ) Limited .. 19 MitonOptimal Jersey Limited .. 19 Moore Stephens Financial Management Limited .. 19 Nedbank Private Wealth Limited, Jersey Branch .. 20 Odin Investment Management Limited .. 20 Omega Financial Services (Jersey) Ltd .. 20 Oppenheimer Europe Ltd (Jersey Branch) .. 20 Perimeta Partners Limited .. 21 Pershing (Channel Islands) Limited .. 21 Contents Issued: May 2018 Page 3 of 36 Platform Securities International Limited.

4 21 Praemium International Limited .. 21 Quilter Cheviot Limited .. 21 Rathbone Investment Management International Limited .. 22 Ravenscroft 22 RBC Investment Solutions (CI) Limited Jersey Branch .. 23 RBC Treasury Services (CI) Limited .. 24 Rossborough Financial Services Limited .. 24 Royal Bank of Canada (Channel Islands) Limited, Jersey Branch .. 24 SaSo Strategic Advisers Limited .. 24 Schroders ( ) Limited, Jersey Branch .. 24 Seven Investment Management LLP, Jersey Branch .. 25 SG Kleinwort Hambros Bank (CI) Limited .. 25 Smith & Williamson International Limited .. 26 Soditic Financial Services Limited .. 26 Soditic Investment Management Limited .. 27 Standard Bank International Investments Limited .. 27 Standard Bank Jersey Limited .. 27 Standard Chartered Bank, Jersey Branch .. 28 Standard Life Wealth International Limited .. 29 Stanhope Capital (Jersey) Limited t/a Stanhope Capital .. 30 STANLIB Fund Managers Jersey Limited .. 30 State Street (Jersey) Limited.

5 30 Stenham Wealth Management ( ) 31 Stonehage Fleming Dealing and Treasury Services (Jersey) Limited .. 31 Stonehage Fund Administrators (Jersey) Limited .. 31 SWM Limited .. 32 The Royal Bank of Scotland International Limited .. 32 Theta Enhanced Asset Management Limited .. 33 UBS AG Jersey Branch .. 33 Union Bancaire Priv e Jersey Branch .. 34 Vantage Limited .. 35 Vencap (Channel Islands) Limited .. 35 Wealth Financial Planning Jersey Limited .. 35 Zedra Fiduciary Investment Services Limited .. 35 Registered persons Senior Management and Investment Employees Page 4 of 36 Issued: May 2018 Aberdeen Private Wealth Management Limited Bruce Harrison Both Gary Le Quesne Both John Conlon Both Andrew Ingram IE Tim Coote SM ACPI FM Limited Aaron Dunlop SM Monique Kinnard SM Sean Bougourd Both Matthew Wilson IE ACPI IM Limited Aaron Dunlop SM Monique Kinnard SM Sean Bougourd Both Matthew Wilson IE Actus (Life & Pensions) Limited Mr Andrew John Bree Both Mr Stephen George Marsh Both Mr Leigh Maxwell Erickson SM Mr Steven Paul Liron IE Registered persons Senior Management and Investment Employees Issued.

6 May 2018 Page 5 of 36 Advisa Financial Services Limited Mr Paul Hamer Both Mr Trevor Griggs Both Mr David Steigenberger Both Mr Clive Richardson IE Miss Clair Molton IE Mr Paul Frankland IE Mr Gavin Taverner IE Miss Tiffany Le Cornu IE Mr Jason Mills IE Mr John Medcalf IE Mr Desmond Jeffrey IE Afex Offshore Limited Jeremiah O'Keeffe SM Greg McIntyre SM Graham Webb IE James Lawence Both Aaron Bird SM Jonathan Gardner IE Alexander Forbes Channel Islands Limited Mr Adrian Roy Peacock Both Mr John Brennan IE Mr Paul Lennon IE Nicholas Alan Browning IE Sara-Jayne Messenger IE Martin Noel Murray IE Registered persons Senior Management and Investment Employees Page 6 of 36 Issued: May 2018 APW Investors Limited Mr Russell David Waite Both Ms Julia Harriet Sophie Warrander Both Mr Benjamin Toby Stott Both Mr David Malcolm Stearn Both Mr Sean Crisp SM Mr Calum McLellan IE Mr Jack Messervy IE Mr Obhenerholo Mba (known as Rholo Mba) IE Ashburton (Jersey) Limited Mrs Evyleen BISSON IE Mr Shane DE LA HAYE IE Mr Craig FARLEY IE Mr Simon FINCH IE Dr Luke GALE IE Ms Rachel GREENAWAY IE Mr Ben HOLT IE Mr Robert LEA IE Mr Nicholas LEE Both Mr Paul O'TOOLE SM Ms Veronika PECHLANER IE Mr Richard ROBINSON IE Mr Jonathan SCHIESSL Both Mr Nicholas SKIMING IE Ms Marta SZYMAN IE Mr Carl TANDY IE Mr Sebastian VOLPE IE Registered persons Senior Management and Investment Employees Page 7 of 36 Issued.

7 May 2018 Ashburton (Jersey) Limited Mr Tony WILSHIN SM Mr Myles WOOD-MCGRATH IE Asset Risk Consultants (Jersey) Limited Mr Stephen McMahon Both Mr Philip Duffin Both Mr Ian Henderson IE Mrs Maria Gardner IE Mr Joseph Donohoe SM Bank of India, Jersey Branch sahu IE Barclays Bank plc, Jersey Branch Mr David Thompson SM Mr Alex Clark Hutchison SM Mr Simon Smith Both Mr Chris Grant IE Mr Christopher Bishun IE Mr Rory Winchester IE Mr John Buckley IE BNP Paribas Jersey Branch Mr Christophe Henry SM Mr Hermanus Wessels SM Mr David Paul Myatt SM Mr Alex Robert Faichnie Both Mr Andrew Dennis Skimmings Both Registered persons Senior Management and Investment Employees Page 8 of 36 Issued: May 2018 BNP Paribas Jersey Branch Mr Nigel Draisey IE Mr Anthony Paul Markey IE Mrs Kaye Fontaine Both Mrs Payal Bee IE Mrs Phoebe Wrigley IE Mr Ganesh Krishnamurti IE BNP Paribas Securities Services Jersey Branch Miss Tina Joy Langdon IE Ms Dawn Alison Ferrow IE Mr G raud De Saint Vincent SM Mr Alan Gunton SM Mr Jonathan Barette SM Mr Ross Youngs SM Brewin Dolphin Limited Jersey Branch Mr Mark Brian Miles IE Mr Adrian Peter Jones IE Mrs Georgina Reid SM Mr Philip Joseph Chambers IE Mr Jason Downie IE Mr Alexander Marcus Ellis IE Mr Anthony Sousa Teixeira IE Bridport & Co (Jersey) Ltd Mr.

8 Jason Bell Both Mr. Jason Jones Both Mr Jonathan Mulry IE Registered persons Senior Management and Investment Employees Page 9 of 36 Issued: May 2018 Bridport & Co (Jersey) Ltd Mr Mark Hind IE Mr. Leon Nightingale IE Mr Benjamin Chapman IE Mr Andrew Gillham IE Mr Peter Smart IE Mr Gary Duncan IE Brooks Macdonald Asset Management (International) Limited, Jersey Branch Mr Richard Ramskill IE Mr Tim Dallas-Chapman Both Mr Kevin Boscher Both Mr David Le Cornu IE Mr Darren Zaman Both Mr Simon Beal IE Mr Mike Langstone IE Mr Philip Rose IE Mr Andrew Gary Hill IE Mr Jamie Mourant IE Mr Akos Dietrich IE Mr Scott Goodrum IE Mr Stuart Cunnington IE Mr Andrew Prosser IE Mr Craig Goodchild IE Mr Stephen Le Lievre IE Mr Andrew Shepherd SM Mr James Surcouf IE Registered persons Senior Management and Investment Employees Page 10 of 36 Issued: May 2018 Brooks Macdonald Retirement Services (International) Limited Mr James Ingram IE Mr Mark le Roux IE Mr Richard Gomersall IE Mr Darren Zaman SM Mr Adrian Kemp Both Mr Nicholas Lawes SM Mr Ben Haymer IE Canaccord Genuity Wealth (International) Limited Duarte (Miguel) De Freitas - Mr IE Andre De Gruchy - Mr IE Zoe Smart - Miss IE Robert Llewellin IE Oliver Butlin - Mr IE Mark Clubb - Mr IE Benjamin Bavin - Mr IE Carl Moreira - Mr IE Lee Burnham - Mr IE Mr Michael Ross-Osborne IE Mr Spencer Mariscal IE Mr Craig McGuire IE Mr Matthew Clarke IE Cherry Godfrey Insurance Services (Jersey) Limited Martyn Weeks Both Howard de la Haye Both Richard Le Ruez Both Registered persons Senior Management and Investment Employees Page 11 of 36 Issued.

9 May 2018 Citibank Jersey Branch Anoop Ghai SM Matthew Gregory IE Ms Sharon Smith IE Kevin McDermott IE Philip Morris Both Hugo Peterson IE Ms Ann-Marie Roddie IE Peter Lemoucheux IE James Weavers IE Chris Stephens IE Ms Mayte Moya-Vidal IE Ms Sarah Gallichan IE Ms Lucy Kempster-Chaplin IE Ms Tamara Black IE Ms Nicola Hatcher IE Ms Tracy Le Texier IE Kevin Therin IE Liam Coles IE Stephen Watson SM de Carteret Wealth Limited Miss Helen Frances Cooke Both Mrs Shani Aelthea Clark Both Mr Anthony Lloyd Le Tiec SM Mr Christpher Everard Sawyer SM Mr Mark Richard Taylor IE Registered persons Senior Management and Investment Employees Page 12 of 36 Issued: May 2018 Deutsche Bank International Limited Mr Darren Langlois IE Miss Lisa Elizabeth Barker IE Mr Andreas Josef Tautscher SM Mr Richard Llewellin IE Mr Daniel Peter O'Driscoll IE Mr Paul Treacy IE Ms Jackie Foot SM Simon J Stormer SM EFG Private Bank Limited, Jersey Branch Mr Christian Busel IE Mr John Coutanche IE Mr Peter Hall IE Mr Roger Quirk IE Mr Gerard Gardner SM Mr Russell Thomson SM Mr David Cooper SM Mr Anthomy Cooke-Yarborough SM Ms Jennifer Mathias SM Mr Michael Higgins SM Me Giorgio Pradelli SM Mr John Reed SM Mr Andrew Simmonds SM EFG Wealth Solutions (Jersey) Limited Mr Christian Busel IE Mr John Coutanche IE Registered persons Senior Management and Investment Employees Page 13 of 36 Issued.

10 May 2018 EFG Wealth Solutions (Jersey) Limited Mr Peter Hall IE Mr Roger Quirk IE Mr Gerard Gardner SM Mrs Julie Collins SM Mr Russell Thomson SM Mr Ian Henderson SM Mr Renato Moritz Cavalcanti SM Mr James Tak Him Lee SM Mrs Constance Clark SM Enhance Wealth Consultancy Limited Mr Barry Hardisty Both Mr Gordon Bennie Both Mr Mark Hill SM Mr Justin Simpson Both Mr Michael Moretta IE Mr Gary James IE Dr Ruzhen Li Both Mr Simon Alexander Reed IE European Insurance Brokers Limited Mr Stephen Andrew Clayton Both Ms Bernadette Knight IE Mr Karl Franz Birkhauser Both Mr Gordon Cameron Harris SM Registered persons Senior Management and Investment Employees Page 14 of 36 Issued: May 2018 Global Advisors (Jersey) Limited Mr Russell Newton Both Mr Daniel Masters Both Mr Jean Marie Mognetti Both Global Execution Limited Mr Robert Heaselgrave SM Mr Andrew Dodd SM Mr Michael Platt SM Guardian Asset Management Limited John Martin Robson Both Mr Gareth John Small Both Mr Philip Brendan Van Neste SM Henley Offshore Financial Services Limited Mr Peter Seymour Both Mrs Sylvie Seymour SM Mrs Kerrie Carlyon Both Mrs Hayley Carstairs Both Homebuyer Financial Services Limited Mr David Colin Troy Both Mr Michael John Barney Both Mr Michael James Mulhern IE Mr John Ramsay IE Mrs Marzena Dziewulska SM Registered persons Senior Management and Investment Employees Page 15 of 36 Issued.