List of exempt principal traders (EPTs)
Name of Group Entities with EPT status
Bank of America Merrill Lynch
  • Merrill Lynch International
  • Bank of America, National Association
  • Merrill Lynch Far East Limited
  • Merrill Lynch Canada Inc
  • Merrill Lynch International & Co. C.V.
  • BofA Securities Europe SA
  • BofA Securities, Inc.
  • BofA Securities Prime, Inc.
 Bank of China Limited
  • BOCI Asia Limited
  • BOCI Securities Limited
  • BOCI Financial Products Limited
Barclays PLC
  • Barclays Bank PLC
  • Barclays Capital Securities Limited
  • Barclays Capital Inc.
  • Barclays Capital Asia Limited
  • Barclays Bank Ireland PLC
BNP Paribas
  • Global Equities Division of BNP Paribas Arbitrage SNC
  • Global Markets Division of BNP Paribas SA
    (formerly known as Global Equities Division and the Fixed Income Division of BNP Paribas SA)
  • Equities Cash Asia Division of BNP Paribas Securities (Asia) Limited
    (formerly known as Global Equities and Commodity Derivatives Division of BNP Paribas Securities (Asia) Limited)
  • Global Equities Division of BNP Paribas Issuance B.V.
  • Wealth Management Division of BNP Paribas SA
  • Securities Services Division of BNP Paribas SA
CICC Group
  • China International Capital Corporation Hong Kong Securities Limited
  • CICC Financial Products Ltd.
  • CICC Financial Trading Limited
  • CICC Commodity Trading Limited
  • CICC Customer Trading Limited
  • CICC Wealth Investment Limited
  • China International Capital Corporation Limited
  • 中金浦成投資有限公司(CICC Pucheng Investment Co., Ltd.)
  • China CICC Wealth Management Securities Company Limited
CITIC Securities Company Limited

  • CLSA Limited
  • CLSA Global Markets Pte Limited
  • CLSA Singapore Pte Limited
  • CLSA Capital Limited
  • CSI Global Markets Limited
  • CSI Capital Management Limited
  • CSI Financial Products Limited
  • CITIC Securities Brokerage (HK) Limited
  • CITIC Securities Company Limited
  • Citigroup Global Markets Limited
  • Citigroup Global Markets Inc.
  • Citicorp International Limited
  • Citibank, N.A.
  • Citigroup Global Markets Asia Limited
  • Citigroup Global Markets Hong Kong Limited
  • Citigroup Global Markets Europe AG
Credit Suisse Group
  • Credit Suisse (Hong Kong) Limited
  • Credit Suisse Securities (Hong Kong) Limited
  • Credit Suisse International
  • Credit Suisse Securities (Europe) Limited
  • Credit Suisse Securities (USA) LLC
  • Credit Suisse Capital LLC
  • Credit Suisse Management LLC
  • Credit Suisse AG, New York Branch
  • Credit Suisse AG
  • Credit Suisse (Singapore) Limited
  • Credit Suisse AG, Singapore Branch
  • Credit Suisse (Schweiz) AG
Daiwa Group
  • Daiwa Securities Co. Ltd.
    (formerly known as Daiwa Securities Capital Markets Co., Ltd.)
    (andfurther formerly known as Daiwa Securities SMBC Co., Ltd.)
  • Daiwa Capital Markets Europe Limited
    (formerly known as The Derivatives, Fixed Income and Equity Divisions of Daiwa Securities SMBC Europe Limited)
    (and further formerly known as Daiwa Securities SMBC Europe Limited)
  • Daiwa Capital Markets Hong Kong Limited
    (formerly known as Daiwa Securities SMBC Hong Kong Limited)
  • Daiwa Capital Markets Trading Hong Kong Limited
DBS Group
  • DBS Bank Ltd.
  • DBS Asia Capital Limited
  • DBS Bank (China) Limited
  • DBS Bank (Hong Kong) Limited
  • DBS Bank (Taiwan) Ltd
  • DBS Trustee Limited
  • PT Bank DBS Indonesia
  • DBS Vickers Securities (Singapore) Pte Ltd
  • DBS Vickers (Hong Kong) Ltd
  • DBS Vickers Securities (Thailand) Co Ltd
  • DBS Vickers Securities (USA), Inc.
  • PT DBS Vickers Sekuritas Indonesia
  • DBS Securities (Japan) Company Limited
  • DBS Bank India Limited
Goldman Sachs
  • Goldman Sachs (Asia) L.L.C.
  • Goldman Sachs (Asia) Finance
  • Goldman Sachs International
  • Goldman Sachs & Co. LLC
  • Goldman Sachs Japan Co., Ltd.
  • Goldman Sachs Structured Products (Asia) Limited
  • Goldman Sachs (Asia) Securities Limited
  • Goldman Sachs Bank Europe SE
  • Goldman Sachs Gao Hua Securities Company Limited

HSBC Group

  • Global Markets of HSBC Bank plc
  • Global Markets of The Hongkong and Shanghai Banking Corporation Limited
  • Private Banking Division of The Hongkong and Shanghai Banking Corporation Limited
  • HSBC Broking Securities (Asia) Limited
  • Hang Seng Bank Limited
JPMorgan Group
  • Global Equities Division (including Prime Finance) of JPMorgan Group
  • Agency Lending ofJPMorgan Group
Macquarie Group
  • MacquarieBank Limited
  • Macquarie Capital Limited
    (formerly, Macquarie Capital Securities Limited)
  • Macquarie Capital Securities (Singapore) Pte Limited
  • Macquarie Emerging Markets Asian Trading Pte. Limited
Morgan Stanley Group
  • Morgan Stanley Asia Limited
  • Morgan Stanley & Co., International plc
  • Morgan Stanley & Co. LLC
  • Morgan Stanley Hong Kong Securities Limited
  • Morgan Stanley Capital (Luxembourg) S.A.
  • Morgan Stanley Capital Services LLC
  • Morgan Stanley Asia Securities Products LLC
  • Morgan Stanley Asia Products Limited
  • Morgan Stanley B.V.
  • Morgan Stanley France S.A.
  • Morgan Stanley Europe S.E.
  • Morgan Stanley Bank, N.A.
Nomura Group
  • International Wealth Management Division of Nomura International (Hong Kong) Limited
  • Global Markets Division of Nomura International (Hong Kong) Limited
  • Nomura International plc
  • Nomura Singapore Limited
  • Nomura Financial Products & Services, Inc.
  • Nomura Securities (Bermuda) Limited
  • Nomura International Funding Pte Ltd.
  • Nomura Financial Products Europe GmbH
  • Nomura Bank International plc
Standard Chartered Bank
  • Standard Chartered Bank
  • Standard Chartered Bank, Singapore Branch
  • Standard Chartered Bank (Hong Kong) Limited
  • Standard Chartered Securities (Hong Kong) Limited
  • Standard Chartered Bank (Singapore) Limited
  • The Equities Department of UBS AG (Hong Kong Branch, Singapore Branch, London Branch, Australian Branch and Zurich)
  • The Equities Department of UBS Securities LLC
  • UBS Switzerland AG
  • UBS Europe SE
  • UBS Securities Hong Kong Limited

Last update: 15 Aug 2023

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