TriOptima AB — Form CA-1 Application for Exemption from Registration and Exhibits

List in Exhibit A any person who either directly or indirectly, through agreement or otherwise, may control or direct the management or policies of registrant. For each person listed, provide the full name and address and attach a copy of each written agreement or, if the agreements are unwritten, describe the agreement or arrangement through which such person exercises or may exercise such control or direction.  

• TriOptima AB CA-1 Exhibit A: Narrative
• TriOptima AB CA-1 Exhibit A-1
• TriOptima AB CA-1 Exhibit A-2
• TriOptima AB CA-1 Exhibit A-3
• TriOptima AB CA-1 Exhibit A-4

Exhibit B

List in Exhibit B the registrant’s corporate officers, trust officers, managers or other persons occupying a similar status or performing similar functions who supervise, or are directly responsible for the conduct of, registrant’s clearing agency activities, indicating for each: (a) Name (b) Title (c) Area of responsibility (d) A brief account of the business experience during the last five (5) years.  

• TriOptima AB CA-1 Exhibit B: Narrative
• TriOptima AB CA-1 Exhibit B-1

Attach as Exhibit C narrative and graphic descriptions of registrant’s organizational structure. If clearing agency activities are conducted primarily by a division, subdivision, or other segregable entity within the registrant corporation or organization, identify the relationship of such entity to the registrant’s overall organizational structure and limit the descriptions to the division, subdivision or other segregable entity which performs clearing agency activities.  

• TriOptima AB CA-1 Exhibit C: Narrative
• TriOptima AB CA-1 Exhibit C-1

Attach as Exhibit D a list of persons who directly or indirectly, through one or more intermediaries, are controlled by, or are under common control with, the clearing agency and indicate the nature of the control relationship.  

• TriOptima AB CA-1 Exhibit D: Narrative
• TriOptima AB CA-1 Exhibit D-1

Previous Filings

• TriOptima AB CA-1 Exhibit D: Narrative
• TriOptima AB CA-1 Exhibit D-1

Attach as Exhibit F a brief description of any material pending legal proceeding, other than ordinary and routine litigation incidental to the business, to which the registrant or any of its subsidiaries is a party or to which any of its or their property is the subject. Include the name of the court or agency in which the proceeding is pending, the date instituted, and the principal parties thereto, a description of the factual basis alleged to underlie the proceeding and the relief sought. Include similar information as to any such proceeding known to be contemplated by governmental agencies.  

• TriOptima AB CA-1 Exhibit F: Narrative

Attach as Exhibit G copies of all contracts with any national securities exchange, national securities association or clearing agency or securities market for which the registrant acts as a clearing agency or performs clearing agency functions.

• TriOptima AB CA-1 Exhibit G: Narrative

Exhibit I

Attach as Exhibit I the addresses of all offices in which clearing agency activities are performed by registrant, or for registrant by any person listed in response to item 4, and identify the nature of the clearing activities performed in each office listed.  

• TriOptima AB CA-1 Exhibit I: Narrative

Exhibit J

Attach as Exhibit J narrative descriptions of each service or function performed by the registrant.  

• TriOptima AB CA-1 Exhibit J

• TriOptima AB CA-1 Exhibit J: Narrative

Exhibit L

Attach as Exhibit L a description of the measures or procedures employed by registrant to provide for the safeguarding of securities and funds in its custody or control. Identify any instances within the past year in which the described security measures or safeguards failed to prevent any unauthorized access to securities or funds in possession of registrant and any measures taken to prevent a recurrence of any such incident.

• TriOptima AB CA-1 Exhibit L: Narrative

Attach as Exhibit N a list of the persons who currently participate, or who have applied for participation, in registrant’s clearing agency activities (if registrant performs more than one activity, a columnar presentation may be utilized).

• TriOptima AB CA-1 Exhibit N: Narrative

Exhibit Q

Attach as Exhibit Q a schedule of any prices, rates or fees fixed by registrant for services rendered by its participants.  

• TriOptima AB CA-1 Exhibit Q: Narrative

Attach as Exhibit R a schedule of any prohibitions or limitations imposed by the clearing agency on access by any person to services offered by any participant.  

• TriOptima AB CA-1 Exhibit R: Narrative

Previous Filings

• TriOptima AB CA-1 Exhibit R: Narrative

If this is an application for an exemption from registration as a clearing agency, attach as Exhibit S a statement demonstrating why the granting of an exemption from registration as a clearing agency would be consistent with the public interest, the protection of investors and the purposes of Section 17A of the Act, including the prompt and accurate clearance and settlement of securities transactions and the safeguarding of securities and funds.  

Previous Filings 

• TriOptima AB CA-1 Exhibit S: Narrative
• TriOptima AB CA-1 Exhibit S-1