Jessica James

Cowen & Co. LLC is a SEC-registered broker/dealer headquartered in New York City. The firm was founded in 2004 and is a subsidiary of Cowen Holdings, Inc., ultimately owned by The Toronto-Dominion Bank (TSE: TD) in Canada. Cowen & Co. offers industry-focused investment banking for growth-oriented companies, domain knowledge-driven research and a sales and trading platform for institutional investors. Their institutional sales and trading business serves both equity and fixed-income clients. Sales and trading execution platform is structured around the following key verticals: (1) healthcare (2) technology, telecommunications and media (TMT) (3) REITs and financials (4) aerospace and defense (5) consumer and (6) alternative energy.

Goldman Sachs International (GSI) is the Great Britain-based, wholly-owned brokerage subsidiary of Goldman Sachs Group UK Ltd., ultimately held by The Goldman Sachs Group, Inc. (NYSE: GS) in the US. The firm was founded in 1988 and formerly known as Trushelfco Ltd. Headquartered in London, GSI provides prime brokerage, securities lending, futures services and financing services for a range of clients such as corporations, financial institutions, governments and high-net worth individuals.

Citigroup Global Markets Ltd. (CGML) is an international broker-dealer firm headquartered in London, UK. The firm was founded in 1983 and is a subsidiary of Citigroup Global Markets Holdings Bahamas Ltd., ultimately held by Citigroup, Inc. (NYSE: C) in the US. CGML has a major presence in the international financial markets as a dealer, market-maker and underwriter in equity and fixed income securities and offers risk-based solutions to producers and investors in commodity markets. They also provide corporate finance services to a wide range of corporate, institutional and government clients. Their trading activities encompass cash, exchange traded and OTC derivative markets.

Founded in 2004, TD Securities (USA) LLC is a broker/dealer located in New York City with additional offices in Toronto, Montreal, Calgary, Vancouver, London, Singapore, Tokyo and Sydney. The firm is a subsidiary of Toronto Dominion Holdings (USA), Inc. and their ultimate parent is Toronto-Dominion Bank (NYSE: TD). TD Securities (USA) provides a wide range of capital market products and services to corporate, government and institutional clients in five areas of finance including: investment banking, debt capital markets, institutional equities, foreign exchange and money markets. Their services include the underwriting and distribution of new debt and equity issues, providing advice on strategic acquisitions and divestitures and executing daily trading and investment needs. The equity group provides research coverage of media and communications, technology, financial services, oil and gas, mining and metals, industrial products, forest products, technology, utilities and power, real estate, biotechnology, consumer products and merchandising and quantitative analysis strategy. The fixed-income group provides a full range of underwriting sales and trading products for Canadian, U.S. and European debt issuers and investors.

AXA Investment Managers UK Ltd. (AXA IM-UK) is the UK-based investment subsidiary of AXA Framlington Group Ltd., itself a subsidiary of AXA SA (XP: CS, ADR: AXAHY) in France. The firm is headquartered in London and was founded in 1979. AXA IM-UK manages a diverse range of pooled funds and offers tailor-made investment products for liability management. They specialize in institutional pension fund management and individual retirement savings products.

Deka Investment GmbH (Deka) is the wholly-owned asset management subsidiary of DekaBank Deutsche Girozentrale in Germany. Founded in 1995, the firm is headquartered in Frankfurt and acts as the investment arm of the DekaBank Group. The firm offers a range of funds in a variety of asset classes including large-, mid- and small-cap, corporate and government bonds, asset backed securities and convertible bonds for retail and institutional investors.

Fitch Ratings Ltd. (FRL) is an investment research firm headquartered in London, UK. The firm was founded in 1977 and is a subsidiary of Fitch Ratings, Inc., ultimately held by The Hearst Family Trust in the US. FRL provides research and specialized ratings of services to residential and commercial mortgages, asset managers and managed funds. They also publish quantitatively based ratings such as Q-IFS ratings.

Part of GlobalData Plc, Lombard Street Research Ltd. provides investment research. The company is based in London, UK. Lombard Street Research was acquired by Trusted Sources UK Ltd. on August 01, 2016. The British company was founded in 1989.

ODDO BHF Corporates & Markets AG (ODDO BCM) is a securities trading firm headquartered in Frankfurt, Germany. The firm was founded in 1994 and became a subsidiary of France-based Oddo BHF SCA in 2015. ODDO BCM is actively involved in the capital market primarily in four areas: equities and bond trading, market making as a designated sponsor, as a floor specialist broker on the Frankfurt Stock Exchange and in Corporate Finance. It advises German and other European SMEs on all their capital market plans, particularly in the areas of capital markets.

Joh. Berenberg, Gossler & Co. KG (United Kingdom) (Berenberg-UK) is the Great Britain-based broker/dealer division of Joh. Berenberg, Gossler & Co. KG, a multinational full-service investment bank in Germany. Headquartered in London, Berenberg-UK was founded in 2003 and provides trading and brokerage services to institutional and corporate clients.

HSBC Bank Plc (Broker) (HSBC Bank-Broker) is the broker/dealer division of HSBC Bank Plc, which is owned by HSBC Holdings Plc (LON: HSBA; NYSE: HSBC) in Great Britain. Headquartered in London, HSBC Bank-Broker was founded in 1880 and offers bespoke brokerage services across every major asset class for their corporate and institutional clients.

Alfa Bank JSC (Broker) (Alfa Bank-Broker) is the broker-dealer division of Alfa Bank JSC, a private bank headquartered in Moscow, Russia. The firm was founded in 1998 and is a subsidiary of AB Holding JSC, ultimately held by ABH Holdings SA in Luxembourg. Alfa Bank-Broker provides execution services to various clients.

Part of Erste Group Bank AG, Erste Group Bank AG (UK) is a brokerage services provider. The company is based in London, UK. Founded in 1997, the British company offers brokerage services to its clients.

ODDO BHF AG (Broker) (ODDO BHF-Broker) is the broker/dealer division of ODDO BHF AG, which is owned by Oddo BHF SCA in German. The firm was founded in 1854 and is headquartered in Frankfurt. ODDO BHF-Broker offers a wide range of high value-added broking services for issuers, holding companies and/or family offices.

Joh. Berenberg, Gossler & Co. KG (dba Berenberg Bank) is an independent broker/dealer firm headquartered in Hamburg, Germany. Berenberg Bank provides brokerage services for a range of clients.

Part of Stifel Financial Corp., Keefe, Bruyette & Woods Ltd. is a wealth management and British investment banking company that helps individuals and organizations achieve their financial objectives. The company is based in London, UK. KBW's Equity Sales & Trading Division offers financial industry-specific knowledge and access to research and capital markets transactions. Additionally, 67 KBW employees lost their lives on September 11, 2001, and the company has since prioritized assisting the affected families through the KBW Family Fund. The company was founded in 2004.

Part of MF Global Holdings Ltd., MF Global UK Ltd. is a company that provides brokerage services. The company is based in London, UK.

Commerzbank AG (Broker) (Commerzbank-Broker) is the brokerage division of Commerzbank AG (ETR: CBK) in Germany. In 2009, following Commerzbank's acquisition of Dresdner Kleinwort the group created a Corporates & Markets platform which integrated the business of Dresdner Kleinwort GmbH-Investment Management. Headquartered in Frankfurt, Commerzbank-Broker provides trade solutions to multinational corporations, institutional investors, public entities, SMEs and private clients. They also offer risk management and structured financing solutions.

Commerz Markets LLC is a registered broker/dealer located in New York City. The firm is a wholly-owned subsidiary of Frankfurt, Germany-based Commerzbank AG (CRZBF.PK), a commercial banking services firm that was founded in 1870. Commerz Markets is a member of FINRA and the SIPC

Commerzbank AG (Investment Management UK) (Commerzbank UK-IM) is the Great Britain-based investment management division of Commerzbank AG (FRA: CBK; OTCMKTS: CRZBY) in Germany. Headquartered in London, Commerzbank UK-IM was founded in 1973 and provides tailor-made solutions for UK corporate and institutional clients.

TSL Research Group Ltd. is an investment research firm headquartered in London, UK. The firm was founded in 2016 and in 2022 they became a subsidiary of GlobalData UK Ltd., which is ultimately owned by GlobalData Plc (LON: DATA) in 2022. TSL Research Group offers three distinct research services that can be tailored to suit client’s needs: Global Macro, China and Global Emerging Markets and Global Strategy. They apply their macro and thematic thinking to the specific needs of varied investment professionals across multi-asset, equities, fixed income, wealth management and specialist classes.

Sarnia Asset Management Ltd. is a private company based in St. Peter Port, UK. The British company was founded in 2020 by Swen Walter Lorenz, who has been the CEO since its inception.