DNB Carnegie, Inc. USA

US CUSTOMER IDENTIFICATION PROGRAM NOTICE

IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT

To help the United States government combat money laundering, terrorist financing, sanctions evasion, fraud, and other financial crimes, federal law requires all financial institutions to obtain, verify, and record information that identifies each customer seeking to establish a business relationship or open an account.

When establishing an account or entering into a business relationship with DNB Carnegie, Inc. ("the Firm"), we may request information and documentation necessary to verify the identity of our customers and related parties. The Firm may also use information obtained from public sources, government agencies, regulators, third-party vendors, and other reliable sources to verify customer information.

Please read the full information about the procedures for opening a new account:

Customer Identification Program (CIP) Notice Uptdated October 2026 (PDF)Open the file in a new tab

SEC Rule 606 Report

In accordance with U.S. Securities and Exchange Rule 606, DNB Carnegie, Inc. is required to report statistical information about our routing practices for non-directed orders in U.S. exchanged-listed securities and options.

DNB Carnegie, Inc. routes all non-directed customer orders directly to Goldman Sachs & Co, Inc.

The current Goldman Sachs & Co. SEC Rule 606 Report can be found at:

https://www.goldmansachs.com/compliance-rule606/

DNB Carnegie, Inc. does not accept payment for order flow from any securities exchange, or other trading venue.

Disclaimers

Securities products and services offered by DNB Carnegie, Inc, Member

FINRA

SIPC

FINRA Brokercheck

Investments are subject to risk and fluctuation in value. Past performance is no guarantee of future returns.

DNB Bank ASA Disclaimer:

The information on this website (the “Content”) has been prepared by DNB Bank ASA (“DNB”), a Norwegian bank organised under the laws of the Kingdom of Norway (the “Bank”), for information purposes only. The Content shall not be used for any unlawful or unauthorised purposes. The Bank, its affiliates, and any third-party providers, as well as their directors, officers, shareholders, employees or agents (individually, each a “DNB Party”; collectively, “DNB Parties”) do not guarantee the accuracy, completeness, timeliness or availability of the Content. DNB Parties are not responsible for any errors or omissions, regardless of the cause, nor for the results obtained from the use of the Content, nor for the security or maintenance of any data input by the user. The Content is provided on an “as is” basis. DNB PARTIES DISCLAIM ANY AND ALL EXPRESS OR IMPLIED WARRANTIES, INCLUDING, BUT NOT LIMITED TO, ANY WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OR USE, FREEDOM FROM BUGS, SOFTWARE ERRORS OR DEFECTS, THAT THE CONTENT’S FUNCTIONING WILL BE UNINTERRUPTED OR THAT THE CONTENT WILL OPERATE WITH ANY SOFTWARE OR HARDWARE CONFIGURATION. In no event shall DNB Parties be liable to any party for any direct, indirect, incidental, exemplary, compensatory, punitive, special or consequential damages, costs, expenses, legal fees, or losses (including, without limitation, lost income or lost profits and opportunity costs) in connection with any use of the content, even if advised of the possibility of such damages. DNB Parties assume no obligation to update the Content in any form or format. The Content should not be relied on and is not a substitute for the skill, judgement and experience of the user, its management, employees, advisors and/or clients when making investment and other business decisions. No DNB Party is acting as fiduciary or investment advisor in connection with the dissemination of the Content. While The Bank has obtained information from sources it believes to be reliable, no DNB Party has performed an audit of, nor accepts any duty of due diligence or independent verification of, any information it receives. DNB keeps certain activities of its business units separate from each other, in order to preserve the independence and objectivity of their respective activities. As a result, certain business units of DNB may have information that is not available to other DNB business units.

The US Business Continuity Disclosure Statement

DNB Carnegie, Inc. has developed a Business Continuity Plan ("BCP") on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – In the event of a significant business disruption, if you cannot contact us through our main number +1 (212) 551-9800, you should contact one of our sales and trading staff:

Johan Svenson:

E-mail: johan.svenson@dcarnegie.com

John Parker

Tel: 907 769 7415

E-mail: john.parker@dnb.no

E-mail: jparker.dnb@bloomberg.net

John Ventimiglia

Tel: +1 5166554924

E-mail: john.ventimiglia@dnb.no

Ellen Kettle

Tel: 347 439 0572

E-mail: ellen.kettle@dnb.no

E-mail: ekettle2@bloomberg.net

Our Business Continuity Plan

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our Business Continuity Plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our affiliate, DNB Bank ASA, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our affiliate that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within the time periods called for in its own Business Recovery Plan, which should in most cases be within 24 hours.

Varying Disruptions

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within twenty-four hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within twenty-four hours. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our customer emergency number, how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

Do you need more information?

Please contact DNB Carnegie, Inc. at 30 Hudson Yards, New York, New York 10001;
telephone 212-681-3800; or e-mail:_
DNB_Carnegie_Compliance_US@dnbcarnegie.com

The following information is requested by DNB Carnegie, Inc. to establish a client relationship in accordance with applicable securities rules and regulations:

DNB Carnegie, Inc. Client Questionnaire (PDF)Open the file in a new tab

AML Questionnaire US (PDF)Open the file in a new tab

Please download and fill in.

With reference to the Norwegian Money Laundering Act, DNB Carnegie, Inc. is required to collect information from our clients, including the purpose of the business relationship, the clients' intended use of our services, and the origins of funds or securities.

For companies and other legal entities, information about beneficial owners must also be collected.

All information obtained will be treated confidentially and in accordance with the Norwegian Personal Data Act.

In connection with any recommended transaction or investment strategy by a registered broker-dealer, the undersigned document below acknowledges the Institution will comply to regulations.

Institutional Sustainability Certificate (PDF)Open the file in a new tab