Dolmen Stockbrokers Limited

Background The Firm is required, under Regulation 13 of the Market Abuse Regulations, to report suspicious transactions, including transactions which might be based on inside information, to the Central Bank. A suspicious transaction was identified by the Central Bank’s Transaction Reporting and Monitoring team, following which the Central Bank discovered that the Firm had not filed a Suspicious Transaction Report (“STR”) with the Central Bank in relation to the transaction. Penalty decision factors In deciding the appropriate penalties to impose, the Central Bank took the Firm’s co-operation into account and the early stage in the market abuse administrative sanctions procedure at which settlement was reached. The Firm has confirmed to the Central Bank that it has taken steps to reinforce its procedures in an effort to ensure that such a contravention does not arise in the future. The Central Bank confirms that the matter is now closed. -End- 2 The Central Bank of Ireland entered into a Settlement Agreement on 12 December 2012 with Dolmen Stockbrokers Limited in relation to a breach of the Market Abuse (Directive 2003/6/EC) Regulations 2005 (as amended). Those that professionally arrange transactions are required, under the Market Abuse Regulations, to submit STRs to the Central Bank, without delay, where they reasonably suspect that transactions might constitute market abuse.