Form FR Y-7 FR Y-7 Annual Report of Foreign Banking Organizations

FR Y-7
OMB Number 7100-0297
Approval expires November 30, 2022
Page 1 of 4

Board of Governors of the Federal Reserve System

Annual Report of Foreign Banking Organizations—FR Y-7

Report at the close of business as of the end of fiscal year
This report form is authorized by law: Sections 8(a) and 13(a)
of the International Banking Act (12 U.S.C. §§ 3106(a) and
3108(a)); sections 113, 165, 312, 618, 809 of the Dodd-Frank Act
(12 U.S.C. §§ 5361, 5365, 5412, 1850a(c)(1), and 5468(b)(1)).

Return to the appropriate Federal Reserve Bank the original and
number of copies of the completed report required by the
Federal Reserve Bank. The Federal Reserve may not conduct or
sponsor, and an organization (or a person) is not required to
respond to, an information collection unless it displays a currently valid OMB control number.

NOTE: The Annual Report of Foreign Banking Organizations
must be signed by an authorized official of the foreign banking
organization.

Date of Report (foreign banking organization's fiscal year-end):

I,

Reporter's Legal Entity Identifier (LEI) (20-Character LEI Code)

Month / Day / Year

Name of Foreign Banking Organization Authorized Official

Reporter's Name, Street, and Mailing Address

Title of Foreign Banking Organization Authorized Official

Legal Name of Foreign Banking Organization (Top-tier if filing as a tiered organization)

attest that the Annual Report of Foreign Banking Organizations
(including the supporting attachments) for this report date have
been prepared in conformance with the instructions issued by the
Federal Reserve System and are true and correct to the best of
my knowledge and belief.

Street Address of the Foreign Banking Organization
City

Country

Mailing Address of the Principal Office (If different from street address)

With respect to information regarding individuals contained in this
report, the Reporter certifies that it has the authority to provide this
information to the Federal Reserve. The Reporter also certifies
that it has the authority, on behalf of each individual, to consent or
object to public release of information regarding that individual.
The Federal Reserve may assume, in the absence of a request for
confidential treatment submitted in accordance with the Board's
"Rules Regarding Availability of Information," 12 C.F.R. Part 261,
that the Reporter and individual consent to public release of all
details in the report concerning that individual.

City

Country

Person in the United States to whom questions about this report
should be directed:
Name

Title

Street
City

State

Area Code / Phone Number

Area Code / FAX Number

Signature of Foreign Banking Organization Authorized Official

E-mail Address

Date of Signature

Address (URL) for the Foreign Banking Organization's web page

Indicate status of Annual Report to Shareholders:
is included with the FR Y-7 report
will be sent under separate cover
is not prepared

For Federal Reserve Bank Use Only
RSSD ID
C.I.

Zip Code

0=No
Is confidential treatment requested for any portion of
this report submission? .................................... 1=Yes

In accordance with the General Instructions for this report
(check only one),
1. a letter justifying this request is being provided along
with the report ........................................................
2. a letter justifying this request has been provided separately ...
NOTE: Information for which confidential treatment is being requested
must be provided separately and labeled
as "confidential."

Public reporting burden for the information collection in the FR Y-7 is estimated to average 6 hours per response, including time to gather and maintain data in the required form and to
review instructions and complete the information collection. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden to: Secretary, Board of Governors of the Federal Reserve System, 20th and C Streets, NW, Washington, DC 20551, and to the Office of Management
12/2019
and Budget, Paperwork Reduction Project (7100-0297), Washington, DC 20503.

FR Y-7
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Checklist
The checklist below is provided to assist the reporting foreign banking organization in filing all the necessary responses to the various
report items. Each report item should be checked and the appropriate blanks filled in. The completed checklist should be returned with
the report.
Check the Yes, No, or N/A checkbox below, as appropriate, to indicate if the report item is included with the initial filing.

Report Item 1: Financial Information Regarding the Foreign Banking Organization (FBO)
Yes

No

Yes

1(a) Response provided in Attachment(s) #
1(b) Response provided in Attachment(s) #

Report Item 2: Organization Information for the FBO
2(a) Response provided in Attachment(s) #

Yes
Yes

N/A

2(b) Response provided in Attachment(s) #

Report Item 3: Shares and Shareholders
Yes

3(a) Response provided on Report Page #

or in Attachment(s) #

Yes

No

3(b) Response provided on Report Page #

or in Attachment(s) #

Yes

No

3(c) Response provided on Report Page #

or in Attachment(s) #

Report Item 4: Eligibility as a Qualified Foreign Banking Organization (QFBO)
Yes

No

Items 4(e) and 4(f) have been completed and provided
on Report Page #
or in Attachment(s) #

Yes

N/A

Items 4(j) and 4(k) have been completed and provided
on Report Page #
or in Attachment(s) #

Yes

N/A

Items 4(l) and 4(m) have been completed and provided
on Report Page #
or in Attachment(s) #

Report Item 5: Regulation YY Compliance for the FBO
Yes

No

Items 5(a) through 5(e) have been completed and provided
on Report Page #

03/2018

FR Y-7
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For Use by Tiered Foreign Banking Organizations
Tiered foreign banking organizations must list the legal name, mailing address, and physical location of subsidiary foreign banking
organizations below. Refer to Who Must Report in the general instructions for filing by tiered foreign banking organizations.

A. For the fiscal year ending on
Month / Day / Year

Legal name of subsidiary foreign banking organization:
Mailing address of head office:
Street

Country

City

Physical location of principal office:
(not mailing address)

Street

City

Country

Name and address of authorized official in the United States:
Name

Street

City

State

Area Code / Phone Number

ZIP Code

Area Code / FAX Number

E-mail Address

I,
Name

Title

an authorized official of the company named above, certify that this Annual Report of Foreign Banking Organizations has been prepared in conformance with the report instructions.

Signature of Authorized Official

Date

12/2006

FR Y-7
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For Use by Tiered Foreign Banking Organizations—Continued
If the Foreign Banking Organization has more than two tiers, use additional pages as needed.

B. For the fiscal year ending on
Month / Day / Year

Legal name of subsidiary foreign banking organization:

Mailing address of head office:
Street

City

Physical location of principal office:
(not mailing address)

Country

Street

City

Country

Name and address of authorized official in the United States:
Name

Street

City

State

Area Code / Phone Number

ZIP Code

Area Code / FAX Number

E-mail Address

I,
Name

Title

an authorized official of the company named above, certify that this Annual Report of Foreign Banking Organizations has been
prepared in conformance with the report instructions.

Signature of Authorized Official

Date

12/2006