Exemptions from the major shareholding notification obligation granted by FIN-FSA

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Eugene Henry
5 years ago
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1 (6) Exemptions from the major shareholding notification obligation granted by FIN-FSA The table below lists the companies that have been granted exemptions from the major shareholding notification

1 1 (6) Exemptions from the major shareholding notification obligation granted by FIN-FSA The table below lists the companies that have been granted exemptions from the major shareholding notification obligation under chapter 9, section 8 c of the Securities Markets Act (746/2012, SMA) and earlier provisions. The exemptions apply to parent companies of fund management companies, collective investment undertakings and investment firms authorised in a country outside the European Economic Area. Such parent companies do not qualify for a notification procedure under chapter 9, section 8 a of the SMA. However, the FIN-FSA may grant an exemption from the notification obligation under such circumstances, provided that the exemption criteria under the SMA are met. Date of decision Journal number Crédit Agricole S.A. Amundi Smith Breeden, LLC FIVA 11/ /2017 Pioneer Institutional Asset Management Inc. Pioneer Investment Management Inc. Amundi S.A. Pioneer Institutional Asset Management Inc FIVA 8/ /2017 Pioneer Investment Management Inc. Amundi Asset Management S.A. Pioneer Institutional Asset Management Inc FIVA 8/ /2017 Pioneer Investment Management Inc. Guggenheim Capital, LLC Guggenheim Global Trading, LLC FIVA 1/ /2013 Guggenheim Partners, LLC Guggenheim Global Trading, LLC FIVA 1/ /2013 Guggenheim Manager Holdco, LLC Guggenheim Global Trading, LLC FIVA 1/ /2013 Guggenheim Manager, Inc. Guggenheim Global Trading, LLC FIVA 1/ /2013

2 2 (6) Franklin Resources, Inc. Franklin Advisors, Inc. Franklin Templeton Portfolio Advisors, Inc. Franklin Mutual Advisers, LLC Templeton Investment Counsel, LLC Franklin Templeton Investments Corp. Fiduciary Investment Management International, Inc. Franklin Templeton Investments (Asia) Limited Templeton Global Advisors Limited Franklin Templeton Institutional, LLC Date of decision Journal number FIVA 2/ /2012 (Replaces decision 4/207/2010 dated ) CBRE GROUP, INC CBRE Clarion Securities LLC FIVA 6/ /2011 CBRE Services, Inc CBRE Clarion Securities LLC FIVA 6/ /2011 CB/TCC,LLC CBRE Clarion Securities LLC FIVA 6/ /2011 CB Holdco,Inc CBRE Clarion Securities LLC FIVA 6/ /2011 CBRE, Inc. CBRE Clarion Securities LLC FIVA 6/ /2011 CBRE Clarion REI Holding, Inc. CBRE Clarion Securities LLC FIVA 6/ /2011 CBRE Clarion CRA Holdings, Inc CBRE Clarion Securities LLC FIVA 6/ /2011 CBRE Clarion Securities Holdings,LLC CBRE Clarion Securities LLC FIVA 6/ /2011 Madison Dearborn Partners LLC

3 3 (6) Madison Dearborn Partners V-A&C L.P. Windy City Investments Holdings, LLC Windy City Investments, Inc. Date of decision Journal number

4 4 (6) Nuveen Investments, Inc. NWQ Holdings, LLC Date of decision Journal number Allianz SE (Germany) Allianz Global Investors AG (Germany), RCM Capital Management LLC (U.S.) RCM Capital Management LLC (U.S.) /230/2008, 9/230/2008 RCM US Holdings LLC (U.S.) RCM Capital Management LLC (U.S.) /230/2008

5 5 (6) Allianz Global Investors US Holdings Inc (U.S.), Allianz Global Investors of America LLC (U.S.), Allianz Global Investors U.S.Holding LLC (U.S.), Allianz PacLife Partners LLC (U.S.) Date of decision Journal number

6 6 (6) Allianz Global Investors US Partners GP (U.S.) Allianz Global Investors of America LP (U.S.) Allianz Global Investors US Retail LLC (U.S.) Allianz Global Investors Management Partners LLC (U.S.) Allianz Global Investors New York Holdings LLC (U.S.) Date of decision Journal number Nicholas-Applegate Holdings LLC (U.S.) The Capital Group Companies, Inc. Capital Research and Management Company Capital Research Global Investors Capital World Investors /230/2007

Notifications to FIN-FSA of the application of exemptions from the disclosure obligation

1 (7) Notifications to FIN-FSA of the application of exemptions from the disclosure obligation The FIN-FSA has received s of application for exemptions from the disclosure obligation from the companies