4th Quarter - Report

HSBC TECHNOLOGY AND SERVICES USA INC. for HSBC TECHNOLOGY AND SERVICES USA INC.

Firm
Client
Income
—
Expenses
$640,000
Expense method
A: Lobbying Disclosure Act definitions

What was lobbied

4 issue areas, each in the filer's own words, with who lobbied on it and where.

Trade (domestic/foreign) TRD

Export-Import Bank Reauthorization.

Foreign entity interest: As the parent of HSBC-North America, HSBC Holdings, plc, has interests in the issue above.

LobbyistCovered position, as disclosed
MONIQUE FRAZIER —
THOMAS ROSENKOETTER —
JANET G ST AMAND —

Contacted: Commodity Futures Trading Commission (CFTC); SENATE; Office of the Comptroller of the Currency (OCC); Treasury, Dept of; Federal Deposit Insurance Corporation (FDIC); HOUSE OF REPRESENTATIVES; Securities & Exchange Commission (SEC)

Banking BAN

Volcker Rule as it relates to foreign funds. Large bank regulation including structure, prudential regulation and resolution authority including Total Loss Absorbing Capacity (TLAC) proposals. SEC cross border rules. Redefinition of "fiduciary" as it applies to investment advice. Pending Margin Rules related to Internal Risk Management Trades, HR 22, the DRIVE Act - reduction of Federal Reserve stock dividends, the FDIC Brokered Deposits FAQ.

Foreign entity interest: As the parent of HSBC-North America, HSBC Holdings, plc, has interests in the issues above.

LobbyistCovered position, as disclosed
MONIQUE FRAZIER —
THOMAS ROSENKOETTER —
JANET G ST AMAND —

Contacted: SENATE; Office of the Comptroller of the Currency (OCC); Federal Deposit Insurance Corporation (FDIC); Commodity Futures Trading Commission (CFTC); Securities & Exchange Commission (SEC); HOUSE OF REPRESENTATIVES; Treasury, Dept of

Bills named: H.R. 22 (114th)

Taxation/Internal Revenue Code TAX

Certain "extenders" in PL 114-113, the Consolidated Appropriations Act for 2016, (Protecting Americans from Tax Hikes Act of 2015) particuarly the exemption from withholding of taxes for non resident aliens receiving dividends paid by US mutual funds and the exemption from taxes for forgiveness on mortgage modifications.

Foreign entity interest: As the parent of HSBC-North America, HSBC Holdings, plc, has interests in the issues above.

LobbyistCovered position, as disclosed
MONIQUE FRAZIER —
THOMAS ROSENKOETTER —
JANET G ST AMAND —

Contacted: SENATE; Office of the Comptroller of the Currency (OCC); HOUSE OF REPRESENTATIVES; Treasury, Dept of; Federal Deposit Insurance Corporation (FDIC); Commodity Futures Trading Commission (CFTC); Securities & Exchange Commission (SEC)

Telecommunications TEC

S 754, The Cybersecurity Information Sharing Act.

Foreign entity interest: As the parent company of HSBC-North America, HSBC Holdings, plc, has interests in the issues above.

LobbyistCovered position, as disclosed
MONIQUE FRAZIER —
THOMAS ROSENKOETTER —
JANET G ST AMAND —

Contacted: Treasury, Dept of; Commodity Futures Trading Commission (CFTC); SENATE; Securities & Exchange Commission (SEC); Office of the Comptroller of the Currency (OCC); HOUSE OF REPRESENTATIVES; Federal Deposit Insurance Corporation (FDIC)

Shown as published by the Senate Office of Public Records and the House Clerk under the Lobbying Disclosure Act. The official filing is the record; open it for the full form.