DNB Carnegie, Inc. New York

DNB Carnegie, Inc. is a U.S. registered broker-dealer. We are a wholly owned subsidiary of DNB Bank ASA in New York.

New york Hudson yards where DNB Markets Inc is situated

Leading U.S. broker in sales and trading of Nordic equity and fixed income securities
We provide a wide range of investment banking products
We provide services to domestic and international corporate and institutional clients

A Nordic Investment Banking Leader

We greatly appreciate your continued trust and partnership, and we look forward to serving you as DNB Carnegie, Inc.

Former DNB Markets and Carnegie have joined forces to form DNB Carnegie. The acquisition has formed the Nordic leader in Investment Banking and Capital Markets.

Effective October 1, 2025, the transaction between Carnegie, Inc. and DNB Markets, Inc. is complete. The new legal entity is DNB Carnegie, Inc.

Please note that there will be no alterations to the existing registration numbers or Legal Entity Identifier associated with DNB Markets, Inc. Should you have any inquiries or require updated legal entity information, please do not hesitate to reach out to us.

DNB Carnegie, Inc. New York

We are an U.S. registered broker-dealer established in New York since 2003. We are a wholly owned subsidiary of DNB Bank ASA and are an integral part of the Bank's global investment platform.

We provide a range of investment banking products and services to domestic and international corporate clients and institutional clients in the United States and Canada including Equity Capital Markets, Debt Capital Markets and equity sales and trading.

Contact Information

Telephone: +1 212 551 9800

Switchboard: +1 212 681 3800

Address:

30 Hudson Yards, New York, NY 10001 USA

Standard Settlement Instructions

Equity Capital Markets

Debt Capital Markets

Equity Sales and Trading

We have an experienced team of professionals combining expertise in the relevant product areas as well as our primary industry verticals

Primary industry verticals covered include Shipping/Offshore/Logistics, Energy/Oilfield Services, Seafood and Health Care.

We are a leading U.S. broker in the sales and trading of Nordic equity and fixed income securities in both primary and secondary markets.

We have an experienced team of professionals combining expertise in the relevant product areas as well as our primary industry verticals. Working in close cooperation with DNB Bank’s client relationship managers, we look to source, structure and execute on solutions to enhance our clients’ financial and strategic position.

Questionnaires and legal forms

DNB Carnegie, Inc. Client Questionnaire

Information about Beneficial Ownership

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.

AML Questionnaire

Institutional Sustainability Certificate

Important information for investors in the US

US Patriot Act

U.S Special Measures - Financial Institutions

Below is a copy of The U.S Special Measures introduced for financial institutions in the US in conjunction with our business activities there:

U.S. Special Measures – Financial institutions

Pursuant to U.S. regulations issued under Section 311 of the USA PATRIOT Act, DNB Bank ASA New York Branch is prohibited from establishing, maintaining, administering, managing or engaging in a correspondent banking relationship, such as an account for or on behalf of all of the following entities (each a Section 311 entity): Al-Huda Bank, Bank of Dandong, Commercial Bank of Syria, including Syrian Lebanese Commercial Bank, FBME Bank Ltd, Huione Group, and any banking institution in Burma (Myanmar), the Democratic People’s Republic of Korea (North Korea), and the Islamic Republic of Iran (Iran). The regulations also require us to notify you that you may not provide the above listed entities or their subsidiaries with access to the correspondent account you currently hold with us. In the event that we become aware that a Section 311 entity or any subsidiary is indirectly utilizing such correspondent account, we will be obliged to undertake the appropriate actions to prevent such access, including, where necessary, terminating your account.

Pursuant to U.S. regulations issued under section 9714(a) of the Combating Russian Money Laundering Act (Public Law 116-283), as amended by section 6106(b) of the National Defense Authorization Act for Fiscal Year 2022 (Public Law 117-81), and 21 U.S.C. 2313a3 (section 2313a) of the FEND Off Fentanyl Act, DNB Bank ASA New York Branch is prohibited from transmittals of funds with the following entities: Bitzlato Limited, PM2BTC, CIBanco S.A., Institution de Banca Multiple (CIBanco), Institución de Banca Multiple (Intercam), and Vector Casa de Bolsa, S.A. de C.V. (Vector).

Text last updated 15 October 2025

U.S Unlawful Internet Gambling Enforcement Act (Regulation GG)

Below is a copy of The U.S Unlawful Internet Gambling Enforcement Act (Regulation GG) introduced in the US in conjunction with our business activities there:

U.S Unlawful Internet Gambling Enforcement Act (Regulation GG)

Notice to All Customers Regarding the Unlawful Internet Gambling Enforcement Act (UIGEA) of 2006

The Unlawful Internet Gambling Act (UIGEA) of 2006 prohibits DNB Bank ASA, New York Branch from processing restricted transactions through your business account. Restricted transactions are transactions in which a person accepts credit, funds, instruments or other proceeds from another person in connection with unlawful Internet gambling.

The UIGEA, signed into law in 2006, prohibits any person engaged in the business of betting or wagering (as defined in the Act) from knowingly accepting payments in connection with the participation of another person in unlawful Internet gambling. The United States Department of the Treasury and the Federal Reserve Board has issued a joint final rule, Regulation GG, to implement this Act.

As defined in Regulation GG, unlawful Internet gambling means to place, receive or otherwise knowingly transmit a bet or wager by any means which involves the use, at least in part, of the Internet where such bet or wager is unlawful under any applicable Federal or State law in the State or Tribal lands in which the bet or wager is initiated, received or otherwise made.

As a customer of DNB Bank ASA, New York Branch, these restricted transactions are prohibited from being processed through your account or banking relationship with us. If you do engage in an internet gambling business and open a new account with us, we will ask that you provide evidence of your legal capacity to do so.

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 compliance.marketsinc@dnb.no

The US Customer Identification Program Notice

US CUSTOMER IDENTIFICATION PROGRAM NOTICE

IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT

To aid the United States government in the battle against the funding of terrorism and money laundering, federal law requires all financial institutions to obtain, verify and record information that identifies each individual and/or entity that engage in business with our bank, as a prerequisite to doing such business.

Forms of identification to be provided to DNB Bank, upon request, as a means of identifying, may be, but not limited to, proof of physical address (excluding PO Boxes), U.S. Taxpayer or foreign identification number, government identification documents, Certificate of Good Standing for U.S. corporations or a certified copy of its Articles of Incorporation.

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 for products and services offered by DNB Carnegie, Inc. Member

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

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.

DNB Carnegie, Inc. New York

A Nordic Investment Banking Leader

DNB Carnegie, Inc. New York

Contact Information

Questionnaires and legal forms

Important information for investors in the US

Products, services and terms

Investment Banking (IBD)

Financing Group (DCM)

Equity Capital Markets (ECM)

Debt Capital Markets

Equity Sales and Trading

DNB // Back Bay Partnership

Sustainable Finance

Terms and agreements

DNB Carnegie, Inc. New York

A Nordic Investment Banking Leader

DNB Carnegie, Inc. New York

Contact Information

Questionnaires and legal forms

Important information for investors in the US

Products, services and terms

Investment Banking (IBD)

Financing Group (DCM)

Equity Capital Markets (ECM)

Debt Capital Markets

Equity Sales and Trading

DNB // Back Bay Partnership

Sustainable Finance

Terms and agreements