Schedule 1

FIRST SCHEDULERegulation 3Affected personsFirst columnSecond columnSpecified financial institutionAffected persons1.A bankThe depositors of the bank2.A finance company licensed under the Finance Companies Act 1967The depositors and the creditors of the finance company3.A merchant bankThe depositors of the merchant bank4.A designated financial holding companyThe depositors of a bank that is a subsidiary of the designated financial holding company, and the policy owners of the insurance policies issued by an insurer licensed under the Insurance Act 1966 that is a subsidiary of the designated financial holding company5.An operator or a settlement institution of a designated payment system under the Payment Services Act 2019The participants of the designated payment system6.An approved exchange, a recognised market operator, a licensed trade repository, a licensed foreign trade repository, an approved clearing house, a recognised clearing house, an approved holding company, a Depository or a holder of a capital markets services licence under the Securities and Futures Act 2001 (not being one who only carries on business in the regulated activity of providing credit rating services but not any other regulated activity as defined in section 2(1) of that Act) Members of the public or of a section of the public, the participants of the specified financial institution or the investors using the facility or service provided by the specified financial institution7.A trustee, for a collective investment scheme authorised under section 286 of the Securities and Futures Act 2001, that is approved under that ActMembers of the public or of a section of the public, or the participants of the collective investment scheme8.A licensed trust company under the Trust Companies Act 2005Members of the public or of a section of the public, or protected parties under the Trust Companies Act 20059.A licensed financial adviser under the Financial Advisers Act 2001, or an exempt financial adviser under that Act that is not a pertinent financial institutionThe clients of the licensed financial adviser or exempt financial adviser, as the case may be10.A person who is exempt from the requirement to hold a capital markets services licence under the Securities and Futures Act 2001 to carry on business in any regulated activity specified in the Second Schedule to that Act, but is not a pertinent financial institutionMembers of the public or of a section of the public, or clients of the exempt person11.An insurer licensed or otherwise regulated under the Insurance Act 1966The policy owners of insurance policies issued by the insurer12.An insurance intermediary registered or otherwise regulated under the Insurance Act 1966The insurers, insureds or intending insureds (as the case may be) for which the insurance intermediary acts as an agent13.A payment service provider licensed under the Payment Services Act 2019Customers of the payment service provider