Kepler Capital Markets

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Regulators

Location	Regulator	Abbreviation
Kepler Capital Markets France	Autorité de Contrôle Prudentiel	ACP (*)
Kepler Capital Markets France	Autorité des Marchés Financiers	AMF
Kepler Capital Markets España	Comision Nacional del Mercado de Valores	CNMV
Kepler Capital Markets Germany	Bundesanstalt für Finanzdienstleistungsaufsicht	BaFin
Kepler Capital Markets Italia	Commissione Nazionale per le Società e la Borsa	CONSOB
Kepler Capital Markets Nederland	Autoriteit Financiële Markten	AFM
Kepler Capital Markets Switzerland	Swiss Financial Market Supervisory Authority	FINMA
Kepler Capital Markets, Inc	Securities and Exchange Commission	SEC
Kepler Capital Markets, London	Financial Services Authority	FSA
Kepler Capital Markets, Austria	Austrian Financial Market Authority	FMA

(*) Lead Regulator

Bulletins

28.11.2011

Kepler Capital Markets names Pascal Marionneau as Global Head of Credit ASG business line

Kepler Capital Markets (Kepler) is pleased to announce the appointment of Pascal Marionneau as Global Head of the Credit ASG business line.

21.11.2011

Kepler Capital Markets names Nicolas Miara-Godet as Head of Investment Solutions

Kepler Capital Markets (Kepler) is pleased to announce the appointment of Nicolas Miara-Godet as Head of Investment Solutions.

15.11.2011

Kepler Capital Markets enters into a strategic alliance with UniCredit for Western European Equities Business

Kepler Capital Markets (‘Kepler’) is pleased to announce an important development which relates to its Equity Brokerage business line.

17.10.2011

Closing of Capital Raising

Kepler Capital Markets (KCM) is pleased to announce that the transaction to raise new capital and bring onboard new minority shareholders is closed as of Friday, 14th October.

17.10.2011

Gruppo Banca Leonardo sells its Equity Brokerage & Research unit to Kepler Capital Markets

The transfer of Gruppo Banca Leonardo’s equity brokerage unit to Kepler Capital Markets (KCM) was first announced on 26th April, 2011.

11.7.2011

Kepler Capital Markets is live on Nyse BondMatch

Kepler Capital Markets is proud to announce it is now connected to the brand new platform NYSE BondMatch for the execution of your orders.

27.6.2011

Kepler Capital Markets announces a co-operation agreement with Quant Capital of India

Kepler Capital Markets (‘KCM’) and Quant Capital (‘Quant’) are pleased to announce a co-operation agreement

27.6.2011

Kepler Capital Markets appoints Philippe Musette-Sykes as Head of Debt & Equity Capital Markets

Kepler Capital Markets (‘KCM’) is pleased to announce the appointment of Philippe Musette-Sykes as Head of Debt and Equity Capital Markets.

27.5.2011

Kepler Capital Markets establishes distribution agreement with Danske Markets Equities

Danske Markets Equities will start servicing its clients in Denmark and Finland from 1st July, 2011 with the European equities product from Kepler Capital Markets (‘KCM’).