Company: TROW
Filing Date: 2025-02-14
Form Type: 10-K
Source: 0001113169-25-000007
Chunk: 8

Company: PRICE T ROWE GROUP INC
Filing Date: 2025-02-14
Form: 10-K
Item: Item 1
Chunk 8
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 Rowe Price Japan - T. Rowe Price Australia - T. Rowe Price Singapore - T. Rowe Price (Canada) - T. Rowe Price Advisory Services - T. Rowe Price Investment Management - Oak Hill Advisors - Oak Hill Advisors (Europe) - OHA (UK) -OHA Private Credit Advisors - OHA Private Credit Advisors IIAll entities above are registered as investment advisers under the Investment Advisers Act of 1940, which imposes substantive regulation around, among other things, fiduciary duties to clients, transactions with clients, effective compliance programs, conflicts of interest, advertising, recordkeeping, reporting, and disclosure requirements.State of Maryland, Office of Financial Regulation - T. Rowe Price Trust CompanyOutside the U.S.Financial Conduct Authority - T. Rowe Price International - T. Rowe Price UK - Oak Hill Advisors (Europe) - OHA (UK)Securities and Futures Commission - T. Rowe Price Hong Kong - Oak Hill Advisors (Hong Kong)Monetary Authority of Singapore - T. Rowe Price SingaporeSeveral provincial securities commissions in Canada - T. Rowe Price (Canada)Commission de Surveillance du Secteur Financier  - T. Rowe Price (Luxembourg) Management Sàrl  - OHA Services Sàrl Australian Securities and Investments Commission - T. Rowe Price Australia - Oak Hill Advisors (Australia) PtyJapan Financial Services Agency - T. Rowe Price JapanSwiss Financial Market Supervisory Authority - T. Rowe Price (Switzerland)

Serving the needs of retirement savers is an important focus of our business. Such activities are subject to regulators such as the U.S. Department of Labor, and applicable laws and regulations including the Employee Retirement Income Security Act of 1974 ("ERISA").

Registrations

•Our subsidiaries providing transfer agent services, T. Rowe Price Services and T. Rowe Price Retirement Plan Services, are registered under the Securities Exchange Act of 1934.

•T. Rowe Price Investment Services (TRPIS) is an SEC registered introducing broker-dealer and member of the Financial Industry Regulatory Authority ("FINRA") and the Securities Investor Protection Corporation. This 

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subsidiary is the principal underwriter and distributor for our sponsored U.S. mutual funds and exchange-traded funds, and may also offer and make recommendations for certain funds that are not offered to the general public such as privately placed funds. Investors may open a brokerage account with TRPIS