UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM F-N

OMB Number: 3235-0411

OMB APPROVAL

Expires: May 31, 2024

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APPOINTMENT OF AGENT FOR SERVICE OF PROCESS

BY FOREIGN BANKS AND FOREIGN INSURANCE

COMPANIES AND CERTAIN OF THEIR HOLDING COMPANIES

AND FINANCE SUBSIDIARIES MAKING PUBLIC OFFERINGS

OF SECURITIES IN THE UNITED STATES

GENERAL INSTRUCTIONS

I. Form F-N shall be filed with the Commission in connection with the filing of a registration statement under the Securities

Act of 1933 by:

1. a foreign issuer that is a foreign bank or foreign insurance company excepted from the definition of an investment company by

rule 3a-6 [17 CFR 270.3a-6] under the Investment Company Act of 1940 (the “1940 Act”);

2. a foreign issuer that is a finance subsidiary of a foreign bank or foreign insurance company, as those terms are defined in rule

3a-6 under the 1940 Act, if such finance subsidiary is excepted from the definition of investment company by rule 3a-5 [17 CFR

270.3a-5] under the 1940 Act; or

3. a foreign issuer that is excepted from the definition of investment company by rule 3a-1 [17 CFR 270.3a-1] under the 1940 Act

because some or all of its majority-owned subsidiaries are foreign banks or foreign insurance companies excepted from the

definition of investment company by rule 3a-6 under the 1940 Act.

II. Notwithstanding paragraph (I), the following foreign issuers are not required to file Form F-N:

1. a foreign issuer that has filed Form F-X [17 CFR 239.42] under the Securities Act of 1933 with the Commission with respect

to the securities being offered; and

2. a foreign issuer filing a registration statement relating to debt securities or non-voting preferred stock that has on file with the

Commission a currently accurate Form N-6C9 [17 CFR 274.304, rescinded] under the 1940 Act.

III. Six copies of the Form F-N, one of which shall be manually signed, shall be filed with the Commission at its principal office.

A Form F-N filed in connection with any other Commission form should not be bound together with or be included only as

an exhibit to, such other form.

A. Name of issuer or person filing (“Filer”):

B. This is (select one):

an original filing for the Filer

an amended filing for the Filer

C. Identify the filing in conjunction with which this Form is being filed:

Name of registrant

Form type

File Number (if known)

Filed by

Date Filed (if filed concurrently, so indicate)

D. The Filer is incorporated or organized under the laws of (Name of the jurisdiction under whose laws the filer is organized

or incorporated)

and has its principal place of business at (Address in full and telephone number)

Potential persons who are to respond to the collection of information

contained in this form are not required to respond unless the form SEC 2306 (10-06) displays a currently valid OMB control number.
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

E. The Filer designates and appoints (Name of United States person serving as agent)

(“Agent”) located at (Address in full in the United States and telephone number)

as the agent

of the Filer upon whom may be served any process, pleadings, subpoenas, or other papers in:

(a) any investigation or administrative proceeding conducted by the Commission, and

(b) any civil suit or action brought against the Filer or to which the Filer has been joined as defendant or respondent, in

any appropriate court in any place subject to the jurisdiction of any state or of the United States or any of its territories

or possessions or of the District of Columbia,

arising out of or based on any offering made or purported to be made in connection with the securities registered by the Filer

on Form (Name of Form) filed on (Date) or any purchases or sales of any security in connection

therewith. The Filer stipulates and agrees that any such civil suit or action or administrative proceeding may be commenced

by the service of process upon, and that service of an administrative subpoena shall be effected by service upon, such agent

for service of process, and that the service as aforesaid shall be taken and held in all courts and administrative tribunals to

be valid and binding as if personal service thereof had been made.

F. Each person filing this Form stipulates and agrees to appoint a successor agent for service of process and file an amended

Form F-N if the Filer discharges the Agent or the Agent is unwilling or unable to accept service on behalf of the Filer at any

time until six years have elapsed from the date of the Filer’s last registration statement or report, or amendment to any such

registration statement or report, filed with the Commission under the Securities Act of 1933 or Securities Exchange Act of

1934. Filer further undertakes to advise the Commission promptly of any change to the Agent’s name or address during the

applicable period by amendment of this Form referencing the file number of the relevant registration form in conjunction

with which the amendment is being filed.

G. Each person filing this form undertakes to make available, in person or by telephone, representatives to respond to inquiries

made by the Commission staff, and to furnish promptly, when requested to do so by the Commission staff, information

relating to the securities registered pursuant to the form referenced in paragraph E or transactions in said securities.

The Filer certifies that it has duly caused this power of attorney, consent, stipulation and agreement to be signed on its behalf

by the undersigned, thereunto duly authorized, in the

City of Country of

this day 20 A.D.

Filer: By (Signature and Title):

This statement has been signed by the following persons in the capacities and on the dates indicated.

(Signature)

(Title)

(Date)

Instructions

l. The power of attorney, consent, stipulation and agreement shall be signed by the Filer and its authorized Agent in the

United States.

2. The name of each person who signs Form F-N shall be typed or printed beneath his signature. Where any name is

signed pursuant to a board resolution, a certified copy of the resolution shall be filed with each copy of the Form. If

any name is signed pursuant to a power of attorney, a manually signed copy of each power of attorney shall be filed

with each copy of the Form.

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SEC’s Collection of Information

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a

currently valid control number. Filing of this Form is mandatory. Rule 489 under the Securities Act of 1933 [17 CFR 230.489] requires

foreign banks and foreign insurance companies and holding companies and finance subsidiaries of foreign banks and foreign insurance

companies that are excepted from the definition of “investment company” by virtue of rules 3a-1, 3a-5, and 3a-6 under the Investment

Company Act of 1940 to file Form F-N to appoint an agent for service of process in the United States when making a public offering of

securities. The information collected on Form F-N is publicly available. Any member of the public may direct to the Commission any

comments concerning the accuracy of the burden estimate of this Form and any suggestions for reducing the burden of the Form. This

collection of information has been reviewed by the Office of Management and Budget in accordance with the clearance requirements

of 44 U.S.C. §3507.

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