Annual Report of Foreign Banking Organizations

Sections 8(a) and 13(a) of the International Banking Act, 12
U.S.C. §§ 3106(a) and 3108(a); sections 113, 165, 312, 618,
809 of the Dodd-Frank Act, 12 U.S.C. §§ 5361, 5365, 5412,
1850a(c)(1), and 5468(b)(1), respectively.
Board of Governors of the Federal Reserve System

FR Y-7
OMB Number 7100-0297
Approval expires September 30, 2018
Page 1 of 4

Annual Report of Foreign Banking Organizations—FR Y-7

Report at the close of business as of the end of fiscal year
Return to the appropriate Federal Reserve Bank the original and
number of copies of the completed report required by the
Federal Reserve Bank. The Federal Reserve may not conduct or
sponsor, and an organization (or a person) is not required to
respond to, an information collection unless it displays a currently valid OMB control number.

NOTE: The Annual Report of Foreign Banking Organizations
must be signed by an authorized official of the foreign banking
organization.

Date of Report (foreign banking organization's fiscal year-end):

I,

Reporter's Legal Entity Identifier (LEI) (20-Character LEI Code)

FT

This report form is authorized by law: Section 7 and 13(a) of the
International Banking Act of 1978 (12 U.S.C. §§ 3106 and 3108
(a)). This report is to be filed by foreign banking organizations
provided the organization meets the requirements of and is
treated as a qualifying foreign banking organization under
Section 211.23(a) of Regulation K or meets the requirements for
limited exemption under Section 211.23(c) of Regulation K.

Month / Day / Year

Name of Foreign Banking Organization Authorized Official

Reporter's Name, Street, and Mailing Address

Title of Foreign Banking Organization Authorized Official

Legal Name of Foreign Banking Organization (Top-tier if filing as a tiered organization)
Street Address of the Foreign Banking Organization

DR
A

attest that the Annual Report of Foreign Banking Organizations
(including the supporting attachments) for this report date have
been prepared in conformance with the instructions issued by the
Federal Reserve System and are true and correct to the best of
my knowledge and belief.

City

Country

Mailing Address of the Principal Office (If different from street address)

With respect to information regarding individuals contained in this
report, the Reporter certifies that it has the authority to provide this
information to the Federal Reserve. The Reporter also certifies
that it has the authority, on behalf of each individual, to consent or
object to public release of information regarding that individual.
The Federal Reserve may assume, in the absence of a request for
confidential treatment submitted in accordance with the Board's
"Rules Regarding Availability of Information," 12 C.F.R. Part 261,
that the Reporter and individual consent to public release of all
details in the report concerning that individual.

City

Country

Person in the United States to whom questions about this report
should be directed:
Name

Title

Street
City

State

Area Code / Phone Number

Area Code / FAX Number

Signature of Foreign Banking Organization Authorized Official

E-mail Address

Date of Signature

Address (URL) for the Foreign Banking Organization's web page

Zip Code

Does the reporter request confidential treatment for any portion of this
submission?

Indicate status of Annual Report to Shareholders:
is included with the FR Y-7 report

Yes Please identify the report items to which this request applies:

will be sent under separate cover
is not prepared

In accordance with the instructions on pages GEN-2
and 3, a letter justifying the request is being provided.
The information for which confidential treatment is sought
is being submitted separately labeled "Confidential."

For Federal Reserve Bank Use Only
RSSD ID
C.I.

No

Public reporting burden for the information collection in the FR Y-7 is estimated to average 3.75 hours per response, including time to gather and maintain data in the required form and to
review instructions and complete the information collection. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden to: Secretary, Board of Governors of the Federal Reserve System, 20th and C Streets, NW, Washington, DC 20551, and to the Office of Management and Budget,
Paperwork Reduction Project (7100-0297), Washington, DC 20503.
12/2015

4

2016

FR Y-7
Page 2 of 4

Checklist
The checklist below is provided to assist the reporting foreign banking organization in filing all the necessary responses to the various
report items. Each report item should be checked and the appropriate blanks filled in. The completed checklist should be returned with
the report.
Check the Yes, No, or N/A checkbox below, as appropriate, to indicate if the report item is included with the initial filing.

Report Item 1: Financial Information Regarding the Foreign Banking Organization (FBO)
Yes

No

Yes

1(a) Response provided in Attachment(s) #
1(b) Response provided in Attachment(s) #

Report Item 2: Organization Information for the FBO
2(a) Response provided in Attachment(s) #

Yes

N/A

2(b) Response provided in Attachment(s) #

Report Item 3: Shares and Shareholders
Yes

FT

Yes

3(a) Response provided on Report Page #

or in Attachment(s) #

Yes

No

3(b) Response provided on Report Page #

or in Attachment(s) #

Yes

No

3(c) Response provided on Report Page #

or in Attachment(s) #

Report Item 4: Eligibility as a Qualified Foreign Banking Organization (QFBO)
No

Items 4(e) and 4(f) have been completed and provided
on Report Page #
or in Attachment(s) #

DR
A

Yes
Yes

N/A

Items 4(j) and 4(k) have been completed and provided
on Report Page #
or in Attachment(s) #

Yes

N/A

Items 4(l) and 4(m) have been completed and provided
on Report Page #
or in Attachment(s) #

12/2011

FR Y-7
Page 3 of 4

For Use by Tiered Foreign Banking Organizations
Tiered foreign banking organizations must list the legal name, mailing address, and physical location of subsidiary foreign banking
organizations below. Refer to Who Must Report in the general instructions for filing by tiered foreign banking organizations.

A. For the fiscal year ending on
Month / Day / Year

Legal name of subsidiary foreign banking organization:
Mailing address of head office:
Street

Country

Physical location of principal office:
(not mailing address)

Street

City

FT

City

Country

Name and address of authorized official in the United States:

Name

DR
A

Street

City

State

Area Code / Phone Number

ZIP Code

Area Code / FAX Number

E-mail Address

I,

Name

Title

an authorized official of the company named above, certify that this Annual Report of Foreign Banking Organizations has been prepared in conformance with the report instructions.

Signature of Authorized Official

Date

12/2006

FR Y-7
Page 4 of 4

For Use by Tiered Foreign Banking Organizations—Continued
If the Foreign Banking Organization has more than two tiers, use additional pages as needed.

B. For the fiscal year ending on
Month / Day / Year

Legal name of subsidiary foreign banking organization:

Mailing address of head office:
Street

City

Street

City

FT

Physical location of principal office:
(not mailing address)

Country

Country

Name and address of authorized official in the United States:

Name

Street

State

DR
A

City

Area Code / Phone Number

ZIP Code

Area Code / FAX Number

E-mail Address

I,

Name

Title

an authorized official of the company named above, certify that this Annual Report of Foreign Banking Organizations has been
prepared in conformance with the report instructions.

Signature of Authorized Official

Date

12/2006