Important disclosures Asia Pacific – Investor Classification
Where a communication is being directed at persons who are professionals, it is directed at persons in the Asia Pacific Regions as defined below.
“Professional investor” as defined by the Securities and Futures Ordinance (“SFO”) for the Hong Kong Special Administrative Region. Barclays Bank PLC is incorporated in the United Kingdom with limited liability.
"Institutional Investors" and “Accredited Investors” as defined in Section 4A of the Securities Futures Act (Chapter 289).
“Professional investor” as defined by the Financial Instruments and Exchange Laws (“FIEL”) for the Japan region. It is not intended for persons (i) who do not fall within the definition of professional investor as specified in Article 2, paragraph 31 of the FIEL and the relevant cabinet ordinances thereof or (ii) who are professional investors but regarded as not being professional investors due to application of Article 34-2, paragraph 5 of the FIEL.
Barclays Securities Japan Limited is a joint-stock company incorporated in Japan with registered office of 6-10-1, Roppongi, Minato-ku, Tokyo 106-6131, Japan. It is a subsidiary of Barclays Bank PLC and a registered financial instruments firm regulated by the Financial Services Agency of Japan. Registered Number: Kanto Zaimukyokucho (kinsho) No. 143.
Wholesale client” as defined by the Australian Corporations Act 2001.
The Australian Securities and Investments Commission (ASIC) has provided certain exemptions to Barclays Bank PLC (BBPLC), Barclays Capital Asia Limited 巴克萊亞洲有限公司 (BCAL), Barclays Capital Securities Limited (BCSL) and Barclays Capital Inc. (BCI) under paragraph 911A(2)(l) of the Corporations Act 2001 from the requirement to hold an Australian financial services licence (AFSL) in respect of financial services provided to Australian wholesale clients, on the basis that these entities are regulated in jurisdictions which ASIC has assessed as having sufficiently equivalent regulation. Relevantly :
- Barclays Bank PLC (ABN: 95 644 502 170), is incorporated in the United Kingdom and is authorised by the Prudential Regulation Authority of the United Kingdom (PRA) and regulated by the Financial Conduct Authority (FCA) of the United Kingdom and the PRA.
- Barclays Capital Asia Limited (ABN: 94 625 731 295), is incorporated in the Hong Kong Special Administrative Region and is regulated by the Hong Kong Securities and Futures Commission (HK SFC).
- BCSL is authorised by the PRA and regulated by the FCA and the PRA
- BCI is regulated by the United States Securities and Exchange Commission (US SEC)
All of the abovementioned jurisdictions have laws which differ from Australian laws.
In addition, BBPLC is authorised as a foreign authorised deposit-taking institution (ADI) by the Australian Prudential Regulation Authority (APRA) under Australian laws.