DNB Carnegie, Inc. New York

The following information is requested by DNB Carnegie, Inc. to establish a client relationship in accordance with applicable securities rules and regulations:

DNB Carnegie, Inc. Client Questionnaire

Click to open our Anti-Money Laundering Questionnaire (PDF)

With reference to the Norwegian Money Laundering Act, DNB Carnegie, Inc. is required to collect information from our clients, including the purpose of the business relationship, the clients' intended use of our services, and the origins of funds or securities.

For companies and other legal entities, information about beneficial owners must also be collected.

All information obtained will be treated confidentially and in accordance with the Norwegian Personal Data Act.

Below is the US Patriot Act introduced in the US, which is reproduced in conjunction with our business activities there:

Here you will find the US Patriot Act (PDF)

US CUSTOMER IDENTIFICATION PROGRAM NOTICE

IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT

To aid the United States government in the battle against the funding of terrorism and money laundering, federal law requires all financial institutions to obtain, verify and record information that identifies each individual and/or entity that engage in business with our bank, as a prerequisite to doing such business.

Forms of identification to be provided to DNB Bank, upon request, as a means of identifying, may be, but not limited to, proof of physical address (excluding PO Boxes), U.S. Taxpayer or foreign identification number, government identification documents, Certificate of Good Standing for U.S. corporations or a certified copy of its Articles of Incorporation.

Below is a copy of The U.S Special Measures introduced for financial institutions in the US in conjunction with our business activities there:

U.S. Special Measures – Financial institutions

Pursuant to U.S. regulations issued under Section 311 of the USA PATRIOT Act and section 9714(a) of the Combating Russian Money Laundering Act (Public Law 116-283), as amended by section 6106(b) of the National Defense Authorization Act for Fiscal Year 2022 (Public Law 117-81), DNB Bank ASA New York Branch is prohibited from establishing, maintaining, administering, managing or engaging in a correspondent banking relationship, such as an account for or on behalf of all of the following entities (each a Section 311 entity): Al-Huda Bank, Bank of Dandong, Commercial Bank of Syria, including Syrian Lebanese Commercial Bank, FBME Bank Ltd, and any banking institution in Burma (Myanmar) and any banking institution in Democratic People’s Republic of Korea (North Korea) and any banking institution in Islamic Republic of Iran (Iran). DNB Bank ASA New York Branch is also prohibited from transmittals of funds with the following entities: Bitzlato Limited and PM2BTC. The regulations also require us to notify you that you may not provide the above listed entities or their subsidiaries with access to the correspondent account you currently hold with us. In the event that we become aware that a Section 311 entity or any subsidiary is indirectly utilizing such correspondent account, we will be obliged to undertake the appropriate actions to prevent such access, including, where necessary, terminating your account.

Text last updated 1 October 2024

SEC Rule 606 Report

In accordance with U.S. Securities and Exchange Rule 606, DNB Carnegie, Inc. is required to report statistical information about our routing practices for non-directed orders in U.S. exchanged-listed securities and options.

DNB Carnegie, Inc. routes all non-directed customer orders directly to Goldman Sachs & Co, Inc.

The current Goldman Sachs & Co. SEC Rule 606 Report can be found at:

https://www.goldmansachs.com/compliance-rule606/

DNB Carnegie, Inc. does not accept payment for order flow from any securities exchange, or other trading venue.

Below is a copy of The U.S Unlawful Internet Gambling Enforcement Act (Regulation GG) introduced in the US in conjunction with our business activities there:

U.S Unlawful Internet Gambling Enforcement Act (Regulation GG)

Notice to All Customers Regarding the Unlawful Internet Gambling Enforcement Act (UIGEA) of 2006

The Unlawful Internet Gambling Act (UIGEA) of 2006 prohibits DNB Bank ASA, New York Branch from processing restricted transactions through your business account. Restricted transactions are transactions in which a person accepts credit, funds, instruments or other proceeds from another person in connection with unlawful Internet gambling.

The UIGEA, signed into law in 2006, prohibits any person engaged in the business of betting or wagering (as defined in the Act) from knowingly accepting payments in connection with the participation of another person in unlawful Internet gambling. The United States Department of the Treasury and the Federal Reserve Board has issued a joint final rule, Regulation GG, to implement this Act.

As defined in Regulation GG, unlawful Internet gambling means to place, receive or otherwise knowingly transmit a bet or wager by any means which involves the use, at least in part, of the Internet where such bet or wager is unlawful under any applicable Federal or State law in the State or Tribal lands in which the bet or wager is initiated, received or otherwise made.

As a customer of DNB Bank ASA, New York Branch, these restricted transactions are prohibited from being processed through your account or banking relationship with us. If you do engage in an internet gambling business and open a new account with us, we will ask that you provide evidence of your legal capacity to do so.

Securities products and services offered by DNB Carnegie, Inc, Member

• FINRA
• SIPC
• FINRA Brokercheck

Investments are subject to risk and fluctuation in value. Past performance is no guarantee of future returns.

DNB Bank ASA Disclaimer:

The information on this website (the “Content”) has been prepared by DNB Bank ASA (“DNB”), a Norwegian bank organised under the laws of the Kingdom of Norway (the “Bank”), for information purposes only. The Content shall not be used for any unlawful or unauthorised purposes. The Bank, its affiliates, and any third-party providers, as well as their directors, officers, shareholders, employees or agents (individually, each a “DNB Party”; collectively, “DNB Parties”) do not guarantee the accuracy, completeness, timeliness or availability of the Content. DNB Parties are not responsible for any errors or omissions, regardless of the cause, nor for the results obtained from the use of the Content, nor for the security or maintenance of any data input by the user. The Content is provided on an “as is” basis. DNB PARTIES DISCLAIM ANY AND ALL EXPRESS OR IMPLIED WARRANTIES, INCLUDING, BUT NOT LIMITED TO, ANY WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OR USE, FREEDOM FROM BUGS, SOFTWARE ERRORS OR DEFECTS, THAT THE CONTENT’S FUNCTIONING WILL BE UNINTERRUPTED OR THAT THE CONTENT WILL OPERATE WITH ANY SOFTWARE OR HARDWARE CONFIGURATION. In no event shall DNB Parties be liable to any party for any direct, indirect, incidental, exemplary, compensatory, punitive, special or consequential damages, costs, expenses, legal fees, or losses (including, without limitation, lost income or lost profits and opportunity costs) in connection with any use of the content, even if advised of the possibility of such damages. DNB Parties assume no obligation to update the Content in any form or format. The Content should not be relied on and is not a substitute for the skill, judgement and experience of the user, its management, employees, advisors and/or clients when making investment and other business decisions. No DNB Party is acting as fiduciary or investment advisor in connection with the dissemination of the Content. While The Bank has obtained information from sources it believes to be reliable, no DNB Party has performed an audit of, nor accepts any duty of due diligence or independent verification of, any information it receives. DNB keeps certain activities of its business units separate from each other, in order to preserve the independence and objectivity of their respective activities. As a result, certain business units of DNB may have information that is not available to other DNB business units.