Computershare Investor Services Limited

The Central Bank has repeatedly highlighted CAR compliance as a matter of significant importance and it is consistently recognised as a key area in our Enforcement Priorities. One of the principal objectives of the CAR is the efficient and cost effective return of assets to clients in the event of the insolvency of a regulated firm. The CAR and its successor, the Client Asset Regulations 2015, are vital safeguards designed to protect client assets. Breaches erode the special trust placed in regulated firms. The CAR and other legal and regulatory requirements protect consumers of financial services and firms must adhere to them at the expense of client care concerns. Failure to protect client assets will result in Enforcement action.” BACKGROUND The Firm’s authorisation and core business The Firm is authorised by the Central Bank under the MiFID Regulations to provide the investment services of receipt and transmission of orders in relation to a range of financial instruments and to provide ancillary services involving the safekeeping and administration of financial instruments for the account of clients. It is also authorised under the Investment Intermediaries Act 1995 to provide administration services to collective investment schemes (i.e. funds) including acting as registration agent for such funds. The Firm’s core business is as a share registrar for publicly listed clients. This can include acting as a paying agent administering and disbursing dividends to shareholders on behalf of clients.