X0405 TA-1/A 0001227021 XXXXXXXX 084-06072 true LIVE SEC BROWN BROTHERS HARRIMAN & CO 269159 50 Post Office Square Boston MA 02110 N 617.772.1818 Y 185 Hudson Street Suite 1150 Jersey City NJ 07311 For non-qualifying securities 30 Herbert Street Dublin 2 L2 For non-qualifying securities 80, Route D'Esch L-1470 Luxembourg N4 For non-qualifying securities 13/F Man Yee Building, 68 Des Voeux Road Hong Kong K3 For non-qualifying securities Orange Office Park, ul. Klimeckiego 1 Krakow R9 N N N Partnership Thomas E. Berk 01/01/2005 Partner NA true Taylor S. Bodman 01/01/1999 Partner A true John J. Borland 01/01/1998 Partner NA true Geoffrey M. Cook 01/01/2009 Partner NA true Jean-Marc Crepin 01/01/2015 Partner NA true Douglas A. Donahue, Jr. 01/01/1990 Partner NA true Dario Galindo 01/01/2003 Partner NA true Kathryn C. George 01/01/1998 Partner NA true Timothy E. Hartch 01/01/2010 Partner NA true Charles O. Izard 01/01/2004 Partner NA true Michael R. Keller 01/01/2015 Partner NA true Radford W. Klotz 01/01/1995 Partner A true Susan C. Livingston 01/01/1998 Partner A true Hampton S. Lynch, Jr. 01/01/1984 Partner NA true Jeffrey B. Meskin 01/01/2011 Partner NA true Yukinori Nagahisa 01/01/2004 Partner NA true Sean Pairceir 01/01/2010 Partner NA true Jean-Pierre Paquin 01/01/2015 Partner NA true Christopher C. Remondi 01/01/2012 Partner NA true William E. Rosensweig 01/01/2012 Partner NA true Jeffrey A. Schoenfeld 01/01/1996 Partner A true Kevin W. Stone 01/01/2009 Partner NA true W. Carter Sullivan III 01/01/2000 Partner NA true Andrew J. F. Tucker 01/01/1998 Partner NA true William B. Tyree 01/01/2001 Partner A true Maroa C. Velez 01/01/2008 Partner NA true William J. Whelan, Jr. 01/01/2000 Partner NA true Richard H. Witmer, Jr. 01/01/1998 Partner A true Suzanne E. Brenner 01/01/2019 Partner NA true G. Scott Clemons 01/01/2019 Partner NA true Lorrie L. Gordon 01/01/2019 Partner NA true Michael J. McDonald 01/01/2019 Partner NA true N N N N N N N Y The applicant Decision & Order of Offer of Settlement 09/10/2014 U.S. Securities and Exchange Commission In September 2014, the SEC alleged that Brown Brothers Harriman & Co. failed to make certain Section 13 and Section 16 filings of its proprietary and affiliated equity holdings under the Securities Exchange Act of 1934 on a timely basis. Without admitting or denying the findings, the firm entered into a settlement agreement with the SEC and paid a civil penalty of $120,000. N N N N N N N N N Y The applicant NYSE Hearing Board Decision 06-200 11/13/2006 New York Stock Exchange LLC, New York, NY The enforcement staff's allegations included failure to establish and maintain adequate policies and procedures relating to the identification of, and association with, individuals subject to statutory disqualification, and the prompt reporting to the NYSE of the existence of certain events required to be reported by NYSE rules. Without admitting or denying guilt, BBH consented to a censure and fine in connection with the allegations. In addition, BBH implemented enhanced policies and procedures with respect to its hiring process and employee reporting requirements. The applicant 2013035821401 02/04/2014 Financial Industry Regulatory Authority (FINRA). New York, NY FINRA alleged that the firm failed to establish and implement an adequate AML program as required by NASD Rule 3011(a) and FINRA Rules 3310(a) and 2010; to adequately supervise activity in foreign financial institution accounts as required by NASD Rule 3011(b) and FINRA Rules 3310(b) and 2010; to conduct adequate AML testing as required by NASD Rule 3011(c) and FINRA Rules 3310(c) and 2010; to conduct adequate AML training as required by NASD Rule 3011(e) and FINRA Rules 3310(e) and 2010; and, to establish, maintain and enforce a supervisory system to achieve compliance with Section 5 of the Securities Act of 1933, as required by NASD Rule 3010 and FINRA Rule 2010. The Firm resolved the matter without admitting or denying the findings or liability and paid a fine of $8 Million. The Firm filed a Corrective Action Statement with the AWC, noting the various steps BBH had taken, or was taking, to address FINRA's charges N N N N N N Ursula Costigan (617) 772-6161 Vice President 02/15/2019