DNB BANK ASA, FILIAL I NEW YORK

2. Investment services and activities, Securities Trading Act § 2-1 (1)

• No 1: Reception and transmission of orders in relation to one or more financial instruments
• No 2: Execution of orders on behalf of clients
• No 3: Dealing in financial instruments on own account
• No 5: Investment advice
• No 6: Underwriting of fin. instruments or placing of fin. instruments on a firm commitment basis
• No 7: Placing of financial instruments without a firm commitment basis

3. Ancillary services, Securities Trading Act § 2-1 (2)

• No 1: Safekeeping and administration of financial instruments on behalf of clients
• No 3: Advice on capital structure, strategy et al.; advice and services re. to mergers and purchases
• No 4: Foreign exchange services connected to the provision of investment services
• No 5: Preparation and provision of investment recommendations, financial analyses et a
• No 6: Services related to underwriting
• No 7: Services related to underlying of derivatives connected to investment and ancillary services