# EDGAR Filing Document

**Accession Number:** 0000896852
**File Stem:** 0000896852-23-000003
**Filing Date:** 2023-3
**Character Count:** 41266
**Document Hash:** 8d9740b9be22c1653efa6b676f13c18c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000896852-23-000003.hdr.sgml**: 20230323

**ACCESSION NUMBER**: 0000896852-23-000003

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230308

**DATE AS OF CHANGE**: 20230323

**EFFECTIVENESS DATE**: 20230318

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** INVESCO INVESTMENT SERVICES INC
- **CENTRAL INDEX KEY:** 0000896852
- **IRS NUMBER:** 000000000

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-05432
- **FILM NUMBER:** 23754831

**BUSINESS ADDRESS:**
- **STREET 1:** 11 GREENWAY PLAZA
- **STREET 2:** STE 1000
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77046
- **BUSINESS PHONE:** 7136261919

**MAIL ADDRESS:**
- **STREET 1:** PO BOX 219078
- **CITY:** KANSAS CITY
- **STATE:** MO
- **ZIP:** 64121-9078

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** INVESCO AIM INVESTMENT SERVICES INC
- **DATE OF NAME CHANGE:** 20100322

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AIM INVESTMENT SERVICES INC
- **DATE OF NAME CHANGE:** 19930204

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** INVESCO INVESTMENT SERVICES INC

**FINS Number:** 453936

**Address of principal office where transfer agent activities are performed:** 11 GREENWAY PLAZA SUITE 100, HOUSTON, TX, 77046-1188

**Is mailing address different from principal office address?:** Yes

**Mailing Address:** PO BOX 219078, KANSAS CITY, MO, 64121-9078

**Telephone Number:** 713-626-1919

**Does registrant conduct business in other locations?:** No

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** Yes

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** No

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name              | Relationship Start Date   | Title or Status                          | Ownership Code   | Control Person   | Relationship End Date   |
|:---|:---|:---|:---|:---|:---|
| Crissie McMennamy Wisdom | 04/01/2013                | Anti-Money Laundering Compliance Officer | NA               | Yes              |  |
| Trisha Bell Hancock      | 11/09/2018                | Senior Vice President                    | NA               | Yes              |  |
| Andrew Ryan Schlossberg  | 03/01/2019                | Director, Chairman                       | NA               | Yes              |  |
| Jeffrey Howard Kupor     | 03/28/2018                | Secretary, Vice President                | NA               | Yes              | 12/31/2022              |
| Cheri Lynn Stone         | 11/05/2019                | Senior Vice President                    | NA               | Yes              |  |
| Debra Gene Kiemsteadt    | 11/05/2019                | Senior Vice President                    | NA               | Yes              |  |
| Laura Slowensky Stanley  | 11/05/2019                | Senior Vice President                    | NA               | Yes              |  |
| John Mark Zerr           | 05/30/2007                | Director, Vice President                 | NA               | Yes              |  |
| Invesco Advisers, Inc.   | 12/31/2009                | Sole Voting Shareholder                  | E                | Yes              |  |
| Rhonda Jo Dixon-Gunner   | 03/01/2022                | Director, President                      | NA               | Yes              |  |
| Terry Gibson Vacheron    | 03/15/2022                | Chief Financial Officer                  | NA               | Yes              |  |
| Jesse James Dean         | 03/15/2022                | Senior Vice President                    | NA               | Yes              |  |
| Melanie Ringold          | 12/31/2022                | Secretary                                | NA               | Yes              |  |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** Yes

  - **Details #1:**

    - **Entity Name:** INVESCO Funds Group Inc. INVESCO

    - **Action Title:** 03CV2421

    - **Action Date:** 12/02/2003

    - **Court/Body Name and Location:** United States Securities and Exchange Commission

    - **Action Description:** On October 8, 2004, the U.S. Securities and Exchange Commission ("SEC") settled an administrative proceeding against AIM Advisors, Inc. (n/k/a Invesco Advisers, Inc.) ("AIM"), Invesco Funds Group, Inc. ("IFG") and AIM Distributors, Inc. (n/k/a Invesco Distributors, Inc.) ("ADI") (collectively, "Respondents"). The allegations concerned market timing of and late trading by the proprietary mutual funds and a failure to disclose such arrangements, in violation of Sec. 15(b) of the Securities Exchange Act of 1934, Sections 203(e) and (k) of the Investment Advisers Act of 1940, and Sections 9(b) and (f) of the Investment Company Act of 1940. The Respondents neither admitted nor denied the allegations contained in the order of settlement (In re Invesco Funds Group, Inc., Admin Proc. File No. 3-11701 (Oct. 8, 2004)). Pursuant to the terms of the settlements, AIM was censured. AIM paid $25 million in a civil monetary penalty. ADI paid $5 million in a civil monetary penalty. IFG paid $110 million in a civil monetary penalty and $215 in disgorgement. Two disbursement funds were created to compensate shareholders allegedly prejudiced by market timing and related activity in funds formerly advised by AIM. As of May 2011, the distributions were considered complete. AIM agreed to certain undertakings, including, but not limited to, maintaining a Board of Trustees that is 75% independent, designating an independent chairman of the Board, ensuring that the Board appoints an independent senior officer to monitor compliance and manage the process by which management fees are negotiated. The SEC provided final approval to formally complete and close the disbursement funds on November 6, 2013.

    - **Disposition:** This matter has been resolved since October 8, 2004.

  - **Details #2:**

    - **Entity Name:** Invesco Aim Advisors, Inc. former name, AIM Advisors, Inc. and Invesco Aim Distributors, Inc. former name, AIM Distributors, Inc.

    - **Action Title:** Docket 0311701

    - **Action Date:** 10/06/2003

    - **Court/Body Name and Location:** United States Securities and Exchange Commission

    - **Action Description:** On October 8, 2004, the U.S. Securities and Exchange Commission ("SEC") settled an administrative proceeding against AIM Advisors, Inc. (n/k/a Invesco Advisers, Inc.) ("AIM"), Invesco Funds Group, Inc. ("IFG"), and AIM Distributors, Inc. (n/k/a Invesco Distributors, Inc.) ("ADI") (collectively, "Respondents"). The allegations concerned market timing of and late trading by the proprietary mutual funds and a failure to disclosure such arrangements, in violation of Sec. 15(b) of the Securities Exchange Act of 1934, Sections 203(e) and (k) of the Investment Advisers Act of 1940, and Sections 9(b) and (f) of the Investment Company Act of 1940. The Respondents neither admitted nor denied the allegations contained in the order of settlement (In re Invesco Funds Group, Inc., Admin Proc. File No. 3-11701 (Oct. 8, 2004)). Pursuant to the terms of the settlements, AIM was censured. AIM paid $25 million in a civil monetary penalty. ADI paid $5 million in a civil monetary penalty. IFG paid $110 million in a civil monetary penalty and $215 in disgorgement. Two disbursement funds were created to compensate shareholders allegedly prejudiced by market timing and related activity in funds formerly advised by AIM. As of May 2011, the distributions were considered complete. AIM agreed to certain undertakings, including, but not limited to, maintaining a Board of Trustees that is 75% independent, designating an independent chairman of the Board, ensuring that the Board appoints an independent senior officer to monitor compliance and manage the process by which management fees are negotiated. The SEC provided final approval to formally complete and close the disbursement funds on November 6, 2013.

    - **Disposition:** This matter has been resolved since Oct. 8, 2004.

  - **Details #3:**

    - **Entity Name:** Montagu Investment Management Limited now known as INVESCO Asset Management Limited

    - **Action Title:** Docket 36223 SEC Administrative Proceeding

    - **Action Date:** 03/01/1983

    - **Court/Body Name and Location:** United States Securities and Exchange Commission

    - **Action Description:** Montagu Investment Management Limited allegedly failed to file timely statements containing the information required by Schedule 13D of the Securities Exchange Act of 1934. The exact date of action is not available. The disposition of the proceeding follows. The Securities and Exchange Commission proceeding was settled on March 10, 1983. Findings that Montagu failed to file timely Statements containing the information required by Schedule 13D of the Securities Exchange Act of 1934, and that certain Schedules 13D and amendments thereto filed by Montagu, failed to disclose specific information required by Schedule D. The Commission accepted the Offer of Settlement of Montagu, including undertakings by Montagu to adopt, implement, and maintain internal procedures, policies and controls reasonably designed to assure that it and its affiliates would comply in the future with Section 13D of the Securities Exchange Act of 1934.

    - **Disposition:** Settled March 10, 1983. Finding Montagu failed to file timely Statements required by law and failed to make required disclosures. Settlement includes undertakings to implement and maintain internal compliance controls. See Item 10c1v above for details.

- **Found to have violated SRO rules or failed to supervise?:** Yes

  - **Details #1:**

    - **Entity Name:** INVESCO MIM PLC now known as INVESCO Holding Company Limited MIM

    - **Action Title:** Docket 37788 SEC Administrative Proceeding

    - **Action Date:** 06/15/1992

    - **Court/Body Name and Location:** United States Securities and Exchange Commission

    - **Action Description:** INVESCO MIM PLC allegedly violated Section 13D of the Securities Exchange Act of 1934 and Rule 13D2 and 13D3 by failing to file timely statements required by Schedule 12D and failed to cause its subsidiary, INVESCO MIM Management Limited, to comply with the Commissions' Order in the Matter of Montagu Investment Management Ltd File No. 36223 March 10, 1983. The disposition of the proceeding follows. The Securities and Exchange Commission ("SEC") proceeding was settled on July 1, 1992. The SEC accepted INVESCO MIM PLCs Offer of Settlement to cease alleged violations of Section 13D of the 1934 Act, to adopt internal policies to assure compliance and fined the company $175,000. The full amount of the fine was paid in July 1992. It was noted in the SEC Order that none of INVESCO MIM PLCs subsidiaries were involved in the violations. Other sanctions ordered by the SEC are the adoption, implementation and maintenance of internal policies, procedures and controls that are reasonably designed to assure compliance with Section 13D of the Securities Exchange act of 1934 and Rule 13D2 and 13D3.

    - **Disposition:** Settled July 1, 1992. MIM agreed to cease violations of the Act; adopt internal compliance controls and pay a fine of $175,000. See Item 10c2v above for details.

  - **Details #2:**

    - **Entity Name:** INVESCO Funds Group, Inc.

    - **Action Title:** Docket 03CV2421

    - **Action Date:** 12/02/2003

    - **Court/Body Name and Location:** United States Securities and Exchange Commission

    - **Action Description:** See Item 10(c)(1) Record 1

    - **Disposition:** See Item 10(c)(1) Record 1

  - **Details #3:**

    - **Entity Name:** Invesco Aim Advisors, Inc. former name, A I M Advisors, Inc. and Invesco Aim Distributors, Inc. former name, A I M Distributors, Inc.

    - **Action Title:** Docket 0311701

    - **Action Date:** 10/06/2003

    - **Court/Body Name and Location:** United States Securities and Exchange Commission

    - **Action Description:** See Item 10(c)(1) Record 2

    - **Disposition:** See Item 10(c)(1) Record 2

  - **Details #4:**

    - **Entity Name:** Montagu Investment Management Limited now known as INVESCO Asset Management Limited

    - **Action Title:** Docket 36223 SEC Administrative Proceeding

    - **Action Date:** 03/01/1983

    - **Court/Body Name and Location:** United States Securities and Exchange Commission

    - **Action Description:** See Item 10(c)(1) Record 3

    - **Disposition:** See Item 10(c)(1) Record 3

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** Yes

  - **Details #1:**

    - **Entity Name:** INVESCO Funds Group, Inc. INVESCO

    - **Action Title:** Docket 03403885

    - **Action Date:** 12/02/2003

    - **Court/Body Name and Location:** Attorney General of the State of New York

    - **Action Description:** On October 7, 2004, the Attorney General of the State of New York settled investigations concerning AIM Advisors, Inc. (n/k/a Invesco Advisers, Inc.) ("AIM") and Invesco Funds Group, Inc. ("IFG"). The allegations concerned market timing of and late trading by the proprietary mutual funds and a failure to disclose such arrangements, in violation of the Martin Act, general business law section 349 and/or Executive Law Section 63(12) (Act). AIM and IFG neither admitted nor denied the allegations contained in the assurances of discontinuance (In re AIM Advisors, Inc., Assurance of Discontinuance, Attorney General of the State of New York, Bureau of Investment Protection (Oct. 7, 2004) and In re Invesco Funds Group, Inc., Assurance of Discontinuance, Attorney General of the State of New York, Bureau of Investment Protection (Oct. 7, 2004)). IFG agreed to cease and desist from engaging in any acts in violations of the Act. Additionally, IFG and AIM, in accordance with the SEC Order of Settlement dated October 8, 2004, paid $325 million in disgorgement and civil money penalty. AIM paid $20 million in disgorgement and $30 million in civil monetary penalty. AIM agreed to cease and desist from engaging in acts violating the Act. In addition, AIM agreed to certain undertakings, including a reduction in net management fee rates for funds including former Invesco Funds by $75 million over 5 years (which ceased in 2009) and implementation of certain corporate governance reforms for certain funds, including, but not limited to, maintaining a Board of Trustees that is 75% independent, designating an independent chairman of the Board, and recommending that the funds appoint an independent Senior officer to monitor compliance and manage the process by which management fees are negotiated. AIM agreed to additional undertakings as well, such as disclosing the fees and returns of a hypothetical investment with a 5% return.

    - **Disposition:** This matter has been resolved since Oct. 7, 2004.

  - **Details #2:**

    - **Entity Name:** INVESCO Funds Group, Inc. INVESCO

    - **Action Title:** Case No. EN19703

    - **Action Date:** 01/05/2004

    - **Court/Body Name and Location:** Secretary of State of the State of Georgia

    - **Action Description:** As of October 7, 2004, the Secretary of State of Georgia settled investigations (case numbers EN-19703 and EN-19704) concerning Invesco Funds Group, Inc. ("IFG") and AIM Advisors, Inc. (n/k/a Invesco Advisers, Inc.) ("AIM"). The allegations concerned market timing of and late trading by the proprietary mutual funds and a failure to disclosure such arrangements, in violation of certain provisions of the Georgia Securities Act of 1973. AIM and IFG neither admitted nor denied the allegations contained in the letter of undertaking. IFG and AIM paid $100,000 to an investor protection trust to support programs in the State of Georgia designed for the purpose of investor education, and $75,000 to reimburse investigative and administrative costs incurred in connection with the investigations.

    - **Disposition:** This matter has been resolved since October 7, 2004.

  - **Details #3:**

    - **Entity Name:** INVESCO Funds Group, Inc. INVESCO

    - **Action Title:** Order No. 05 L 07

    - **Action Date:** 12/02/2003

    - **Court/Body Name and Location:** Securities Commissioner for the State of Colorado

    - **Action Description:** On October 8, 2004, the Staff of the Colorado Division of Securities settled an investigation concerning Invesco Funds Group, Inc. ("IFG"). The allegations concerned market timing of and late trading by the proprietary mutual funds from 2001 to 2003 and a failure to disclosure such arrangements, in violation of Sec. 11-51-501(5) C.R.S. IFG neither admitted nor denied the allegations contained in the stipulation for consent order (In re Invesco Funds Group, Inc., Stipulation for Consent Order No. 05-L-07, Colorado Securities Commission (Oct. 8, 2004)). AIM Advisors, Inc. (n/k/a Invesco Advisers, Inc.) ("AIM"), as successor adviser to the funds, agreed to certain undertakings, including, but not limited to, implement commercially reasonable policies and procedures to detect and prevent market timing and excessive trading practices generally and with respect to omnibus accounts and disclose the fees and returns of a hypothetical investment with a 5% return. Additionally, IFG and AIM, in accordance with the SEC Order of settlement dated October 8, 2004, paid $325 million in disgorgement and civil money penalty.

    - **Disposition:** This matter has been resolved since October 8, 2004.

  - **Details #4:**

    - **Entity Name:** INVESCO Funds Group, Inc. INVESCO

    - **Action Title:** Case No. 2003CV9199

    - **Action Date:** 12/02/2003

    - **Court/Body Name and Location:** Attorney General of the State of Colorado

    - **Action Description:** On October 7, 2004, the Attorney General of the Colorado Department of Law settled a case against Invesco Funds Group, Inc. ("IFG"), State of Colorado v. Invesco Funds Group, Inc., Case No. 2003CV9199 (D. Denver) (complaint filed December 2, 2003). The allegations concerned market timing of and late trading by the proprietary mutual funds and a failure to disclosure such arrangements, in violation of fiduciary duties. IFG neither admitted nor denied the allegations contained in the assurance of discontinuance (In re Invesco Funds Group, Inc., Assurance of Discontinuance, Colo. Dept. of Law (Oct. 7, 2004)) as successor adviser to the funds, agreed to certain undertakings. The undertakings include implementing certain corporate governance reforms for funds, including but not limited to, maintaining a Board of Trustees that is 75% independent, designating an independent chairman of the Board, ensure that the Board appoint an independent individual or firm to monitor compliance. AIM agreed to additional undertakings as well, such as implementing commercially reasonable policies and procedures to detect and prevent market timing and late trading in omnibus accounts. IFG also paid $1.5 million for reimbursement of expenses incurred, for investor education, and Colorado's general consumer fraud and antitrust enforcement efforts. Additionally, IFG and AIM, in accordance with the SEC Order of Settlement dated October 8, 2004, paid $325 million in disgorgement and civil money penalty.

    - **Disposition:** This matter has been resolved since October 7, 2004.

  - **Details #5:**

    - **Entity Name:** Invesco AIM Advisors, Inc. former name, AIM Advisors, Inc.

    - **Action Title:** No Docket Case Number

    - **Action Date:** 12/02/2003

    - **Court/Body Name and Location:** Attorney General of the State of New York

    - **Action Description:** On October 7, 2004, the Attorney General of the State of New York settled investigations concerning AIM Advisors, Inc. (n/k/a Invesco Advisers, Inc.) ("AIM") and Invesco Funds Group, Inc. ("IFG"). The allegations concerned market timing of and late trading by the proprietary mutual funds from 1997 to 2003 and a failure to disclosure such arrangements, in violation of the Martin Act, general business law section 349 and/or Executive Law Section 63(12) ("Act"). AIM and IFG neither admitted nor denied the allegations contained in the assurances of discontinuance (In re AIM Advisors, Inc., Assurance of Discontinuance, Attorney General of the State of New York, Bureau of Investment Protection (Oct. 7, 2004) and In re Invesco Funds Group, Inc., Assurance of Discontinuance, Attorney General of the State of New York, Bureau of Investment Protection (Oct. 7, 2004)). IFG agreed to cease and desist from engaging in any acts in violations of the Act. Additionally, IFG and AIM, in accordance with the SEC Order of Settlement dated October 8, 2004, paid $325 million in disgorgement and civil money penalty. AIM paid $20 million in disgorgement and $30 civil monetary penalties. AIM agreed to cease and desist from engaging in acts violating the Act. In addition, AIM agreed to certain undertakings including a reduction in net management fee rates for funds including former Invesco Funds by $75 million over five years (which ceased in 2009) and implementation of certain corporate governance reforms for certain funds, including, but not limited to, maintaining a Board of Trustees that is 75% independent, designating an independent chairman of the Board, and recommending that the funds appoint an independent Senior officer to monitor compliance and manage the process by which management fees are negotiated. AIM agreed to additional undertakings as well, such as disclosing the fees and returns of a hypothetical investment with a 5% return.

    - **Disposition:** This matter has been resolved since Oct. 7, 2004.

  - **Details #6:**

    - **Entity Name:** Invesco Aim Advisors, Inc. former name, A I M Advisors, Inc.

    - **Action Title:** Case No. EN 19704

    - **Action Date:** 01/05/2004

    - **Court/Body Name and Location:** Secretary of State of the State of Georgia

    - **Action Description:** As of October 7, 2004, the Secretary of State of Georgia settled investigations (case numbers EN-19703 and EN-19704) concerning Invesco Funds Group, Inc. ("IFG") and AIM Advisors, Inc. (n/k/a Invesco Advisers, Inc.) ("AIM"). The allegations concerned market timing of and late trading by the proprietary mutual funds and a failure to disclosure such arrangements, in violation of certain provisions of the Georgia Securities Act of 1973. AIM and IFG neither admitted nor denied the allegations contained in the letter of undertaking. IFG and AIM paid $100,000 to an investor protection trust to support programs in the State of Georgia designed for the purpose of investor education, and $75,000 to reimburse investigative and administrative costs incurred in connection with the investigations.

    - **Disposition:** This matter has been resolved since October 7, 2004.

- **Federal/State agency found a violation of investment-related regulations?:** Yes

  - **Details #1:**

    - **Entity Name:** INVESCO Funds Group, Inc.

    - **Action Title:** Docket 03 403885

    - **Action Date:** 12/02/2003

    - **Court/Body Name and Location:** Attorney General of the State of New York

    - **Action Description:** See Item 10(d)(1) Record 1

    - **Disposition:** See Item 10(d)(1) Record 1

  - **Details #2:**

    - **Entity Name:** INVESCO Funds Group, Inc.

    - **Action Title:** Case No. EN 19703

    - **Action Date:** 01/05/2004

    - **Court/Body Name and Location:** Secretary of State of the State of Georgia

    - **Action Description:** See Item 10(d)(1) Record 2

    - **Disposition:** See Item 10(d)(1) Record 2

  - **Details #3:**

    - **Entity Name:** INVESCO Funds Group, Inc.

    - **Action Title:** Order No. 05 L 07

    - **Action Date:** 12/02/2003

    - **Court/Body Name and Location:** Securities Commissioner for the State of Colorado

    - **Action Description:** See Item 10(d)(1) Record 3

    - **Disposition:** See Item 10(d)(1) Record 3

  - **Details #4:**

    - **Entity Name:** INVESCO Funds Group, Inc.

    - **Action Title:** Case No. 2003CV9199

    - **Action Date:** 12/02/2003

    - **Court/Body Name and Location:** Attorney General of the State of Colorado

    - **Action Description:** See Item 10(d)(1) Record 4

    - **Disposition:** See Item 10(d)(1) Record 4

  - **Details #5:**

    - **Entity Name:** Invesco Aim Advisors, Inc. former name, A I M Advisors, Inc.

    - **Action Title:** No Docket Case Number

    - **Action Date:** 12/02/2003

    - **Court/Body Name and Location:** Attorney General of the State of New York

    - **Action Description:** See Item 10(d)(1) Record 5

    - **Disposition:** See Item 10(d)(1) Record 5

  - **Details #6:**

    - **Entity Name:** Invesco Aim Advisors, Inc. former name, A I M Advisors, Inc.

    - **Action Title:** Case No. EN 19704

    - **Action Date:** 01/05/2004

    - **Court/Body Name and Location:** Secretary of State of the State of Georgia

    - **Action Description:** See Item 10(d)(1) Record 6

    - **Disposition:** See Item 10(d)(1) Record 6

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** Invesco Capital Markets, Inc.

    - **Action Title:** No Docket Case Number

    - **Action Date:** 07/01/1980

    - **Court/Body Name and Location:** National Association of Securities Dealers

    - **Action Description:** Invesco Capital Markets, Inc. (formerly known as Van Kampen Merritt, Inc.) executed a Letter of Admission, Waiver and Consent and paid the National Association of Securities Dealers a fine of $1,000 for violation of Securities and Exchange Commission rules 15C2-1, 15C3-3 and 17A-3 and MSRB Rules A-13, G-8 and G-10. Van Kampen Merritt, Inc., Van Kampen Funds, Inc. and Carl Ferwerda were named.

    - **Disposition:** Exact date of resolution is not known. Van Kampen Merritt, Inc. executed a Letter of Admission, Waiver and Consent and paid the NASD a fine of $1,000.

  - **Details #2:**

    - **Entity Name:** Invesco Capital Markets, Inc.

    - **Action Title:** CHI 834 AWC

    - **Action Date:** 10/01/1985

    - **Court/Body Name and Location:** National Association of Securities Dealers

    - **Action Description:** Invesco Capital Markets, Inc. ("ICM") (formerly known as Van Kampen Merritt, Inc.) failed to comply with certain provisions of the Securities Exchange Act of 1934, Article III, Sections 1 and 21 of the rules of fair practice and MSRB rules G-15 and G-27. The company prepared an inaccurate computation of the amount required to be on deposit in the special reserve bank account for the exclusive benefit of customers; failed to buy in two short security count differences over forty five calendar days; failed to obtain possession or control of customers' fully-paid securities in two of twenty-two instances; prepared an inaccurate computation of net capital; filed an inaccurate focus part 1 report for October 31, 1984; failed to maintain accurate books and records; failed to maintain a ledger reflecting securities in transfer; failed to have quarterly box counts; failed to record on books and records unresolved securities differences; failed to indicate on confirmations of municipal securities transactions all required information; and, failed to provide evidence in writing of the supervision of municipal transactions. On October 18, 1985, the Letter of Acceptance, Waiver and Consent submitted by respondents ICM and an individual was accepted. Therefore, they were censured and the respondent member was required to amend, revise and update its supervisory procedures within six months of the date of the letter and will submit copy of same to the association.

    - **Disposition:** This proceeding was resolved on October 18, 1985. Van Kampen Merritt, Inc. entered into a Letter of Acceptance, Waiver and Consent with NASD.

  - **Details #3:**

    - **Entity Name:** Van Kampen Funds, Inc.

    - **Action Title:** E1020040470 01

    - **Action Date:** 08/25/2005

    - **Court/Body Name and Location:** National Association of Securities Dealers

    - **Action Description:** For the period March 1, 2004, through May 31, 2004, the firm allegedly failed to timely report 50 transactions eligible for trace reporting, reporting 2 transactions with an inaccurate time of order execution, 1 transaction was reported twice, and 1 transaction was reported with an incorrect quantity.

    - **Disposition:** This proceeding was resolved on August 25 2005, by a Letter of Acceptance, Waiver and Consent with NASD, and payment to the NASD of a fine of $5,000.

  - **Details #4:**

    - **Entity Name:** Invesco Capital Markets, Inc.

    - **Action Title:** 2009020770801

    - **Action Date:** 01/24/2011

    - **Court/Body Name and Location:** Financial Industry National Regulatory Authority

    - **Action Description:** On January 24, 2011, Invesco Capital Markets, Inc. ("ICM") (formerly known as Van Kampen Funds, Inc.) entered into a Letter of Acceptance, Waiver and Consent ("Settlement ") with Financial Industry National Regulatory Authority ("FINRA"). ICM accepted and consented, without admitting to or denying the FINRA finding of a violation of NASD Rule 2110. The findings state ICM did not inform investors purchasing Unit Investment Trusts (UITs") through its In-Kind Exchange programs the manner in which a discounted sales charge would be assessed, and investors could have concluded from the disclosures made that they were eligible to receive certain sales charge discounts when, in fact, such discounts did not apply to the In-Kind Exchange programs. The firm has remediated approximately 4,600 customers who paid more than the exchange discount described in the prospectus approximately $200,000 including interest, and prospectuses were updated to disclose the In-Kind Exchange discount fully and accurately. ICM also consented to the imposition of a censure and a $150,000 fine as settlement with FINRA.

    - **Disposition:** On January 24, 2011, ICM entered into a Letter of Acceptance, Waiver and Consent settlement with FINRA and consented to the imposition of a censure and a $150,000 fine as settlement with FINRA.

  - **Details #5:**

    - **Entity Name:** Invesco Capital Markets, Inc.

    - **Action Title:** 2008013163301

    - **Action Date:** 07/14/2011

    - **Court/Body Name and Location:** Financial Industry National Regulatory Authority

    - **Action Description:** During the review period, the firm failed to transmit 1,539 reportable order events ("ROEs"), to the Order Audit Trail System (OATS) on 381 business days. These 1,539 ROES represented 100% of all ROES that the firm was required to transmit to OATS during the review period. The conduct described in this paragraph constitutes separate and distinct violations of NASD rule 6955(a). The firm's supervisory system did not provide for supervision reasonably designed to achieve compliance with respect to the applicable securities laws and regulations, and the rules of NASD, concerning OATS. Specifically, the firms supervisory system did not include written supervisory procedures providing for: (1) The identification of the person(s) responsible for supervision with respect to applicable rules; (s) A statement of the supervisor step(s) to be taken by the identified person(s); (3) A statement as to how often such person(s) should take such step(s); and (4) A statement as to how the completion of the step(s) included in the written supervisory procedures should be documented. The conduct described in this paragraph constitutes violation of NASD Rules 2210 and 3010.

    - **Disposition:** The firm must pay a fine of $17,500 to FINRA (consisting of $12,500 for violations of NASD rule 6955 and $5,000 for violations of NASD rules 2110 and 3010). The AWC was accepted by FINRA on July 14, 2011, and the fine was paid on July 21, 2011.

  - **Details #6:**

    - **Entity Name:** Invesco Capital Markets, Inc.

    - **Action Title:** Docket/Case 2010024499901

    - **Action Date:** 05/24/2012

    - **Court/Body Name and Location:** Financial Industry National Regulatory Authority

    - **Action Description:** MSRB Rules G-8, G-14 - Invesco Capital Markets, Inc. ("ICM") (formerly known as Van Kampen Funds, Inc.) allegedly failed to report information regarding purchase and sale transactions effected in municipal securities to the real-time transaction reporting system (RTRS), in the manner prescribed by Rule G-14 RTRS procedures and the RTRS users manual. The firm allegedly failed to report information about such transactions within 15 minutes of trade time to an RTRS portal. The firm allegedly failed to report the trade time to the RTRS in municipal securities transaction reports. The firm allegedly failed to record the correct trade time on the trade memorandum for the trades in municipal securities.

    - **Disposition:** Without admitting or denying the findings, the firm entered into a Letter of Acceptance, Waiver and Consent with FINRA. The firm consented to the censure and a monetary fine of $10,000 for MSRB rule violations.

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** Yes

  - **Details #1:**

    - **Entity Name:** Invesco Taiwan Limited

    - **Action Title:** Not Applicable

    - **Action Date:** 03/15/2011

    - **Court/Body Name and Location:** Financial Supervisory Commission, Executive Yuan, R.O.C.

    - **Action Description:** Invesco Taiwan Limited, Invesco Taiwan, was fined by the Financial Supervisory Commission, Executive Yuan, R.O.C., the Regulator, on the ground that it violated a Taiwan regulation requiring a fund manager to carry out adequate research before buying and selling the investment on behalf of the portfolio and that such research be documented. The Regulator has penalized Invesco Taiwan because its investment on a particular stock was without reasonable grounds and justifications to support the decision. Invesco Taiwan bought and sold this stock with a small profit, and documented the rationale of the buying and selling. However, the Regulator believed that the rationale behind the decision to sell the security was not based upon reasonable grounds and justifications.

    - **Disposition:** The Regulator imposed a fine on Invesco Taiwan of NT 120,000 dollars which is approximately $4,000.

  - **Details #2:**

    - **Entity Name:** Invesco Asset Management Ltd. and Invesco Fund Managers Limited

    - **Action Title:** Not Applicable

    - **Action Date:** 04/28/2014

    - **Court/Body Name and Location:** Financial Conduct Authority (UK)

    - **Action Description:** On April 28, 2014, the Financial Conduct Authority ("FCA"), the UK financial services regulator, announced the settlement of an investigation of Invesco Asset Management Limited and Invesco Fund Managers Limited (together Invesco Perpetual) that included the imposition of a financial penalty of GBP 18.6 million. The issues identified by the FCA related to the period May 2008 to November 2012 and included the following: 1) Investment restriction breaches in UK-domiciled retail funds managed by Invesco Perpetual. Such breaches had been identified by Invesco Perpetual and reported to FCA, and the Funds were promptly reimbursed where necessary. 2) Disclosures regarding the use of, and risks associated with, derivatives were not made or inadequately made in disclosure documents for two UK-domiciled retail funds managed by Invesco Perpetual. These disclosure failings were corrected in August 2012. 3) Invesco Perpetual failed to adequately document allocations of fixed income securities when aggregating client orders. A review by Invesco Perpetual determined there was no evidence that this impacted investors. 4) Certain fixed income transactions were not posted on a timely basis. This did not result in any need to re-price funds.

    - **Disposition:** The Financial Conduct Authority imposed a financial penalty of GBP 18.6 million which is approximately $31.1 million.

  - **Details #3:**

    - **Entity Name:** Invesco Ltd. and the Federal Financial Supervisory Authority (BaFin)

    - **Action Title:** Not Applicable

    - **Action Date:** 07/30/2020

    - **Court/Body Name and Location:** Federal Financial Supervisory Authority (BaFin)

    - **Action Description:** On May 31, 2021, Invesco Ltd., the ultimate parent company of Invesco Investment Services, Inc., agreed to a settlement with the Federal Financial Supervisory Authority (BaFin) in the amount of 260,000 Euros (approximately $309,595 USD) for a matter related to ownership filings with the German regulator in relation to German listed companies. BaFin alleged Invesco Ltd. and AIM international mutual funds failed to submit voting rights notifications to BaFin and issuers by the required deadline. BaFin issued a Notice of Hearing on July 30, 2020 to Invesco Ltd. alleging that violations of the voting rights requirements occurred on 26 occasions related to the voting rights notifications of Invesco Ltd. and on 28 occasions relating to the voting rights notifications of AIM international mutual funds between 05/2019 and 10/2019. Invesco Ltd. agreed to pay the administrative fine by the July 2, 2021 deadline.

    - **Disposition:** Invesco Ltd. agreed to pay the administrative fine by the July 2, 2021 deadline.

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** Yes

  - **Details #1:**

    - **Entity Name:** Invesco Aim Distributors, Inc. former name, AIM Distributors, Inc. and Invesco Aim Advisors, Inc. former name, AIM Advisors, Inc.

    - **Action Title:** Order No. 05 1318

    - **Action Date:** 08/30/2005

    - **Court/Body Name and Location:** West Virginia Office of the State Auditor Securities Commission

    - **Action Description:** On August 30, 2005, the West Virginia Office of the State Auditor - Securities Commission ("WVASC") issued a Summary Order to Cease and Desist and Notice of Right to Hearing to AIM Advisors, Inc. (n/k/a Invesco Advisers, Inc.) ("AIM") and AIM Distributors, Inc. ("ADI") (Order No. 05-1318). The WVASC alleges that AIM and ADI failed to disclose market timing arrangements. The WVASC purports to order AIM and ADI to cease any further violations and seeks to impose monetary sanctions, including restitution to affected investors, disgorgement of fees, reimbursement of investigatory, administrative and legal costs and an "administrative assessment" to be determined by the commissioner.

    - **Disposition:** We believe this matter has been indefinitely suspended.

  - **Details #2:**

    - **Entity Name:** Van Kampen Series Fund, Inc. and Van Kampen Investment Advisory Corp. now Van Kampen Asset Management

    - **Action Title:** Case Number 03 L 2036

    - **Action Date:** 12/18/2003

    - **Court/Body Name and Location:** Third Judicial Circuit of Illinois Madison County

    - **Action Description:** On December 18, 2003, a class action suit was filed by Avery Jackson individually and on behalf of other similarly situated alleging defendants failed to make daily adjustments for fluctuations between U.S. and foreign markets in calculating net asset values in the VK International Magnum Fund thereby exposing long term shareholders to market timing trades.

    - **Disposition:** Stayed pending an appeal in a companion case Kircher v. Putnam.

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Rhonda Jo Dixon-Gunner

**Title:** President, Invesco Investment Service, Inc.

**Date:** 02/23/2023

**Phone Number:** 713-214-1209