In the High Court of Justice

Business and Property Courts of England and Wales Court Number: CR-2019-005229

SVS SECURITIES PLC

Trading Name: SVS, SVS Capital Markets, SVS FX, SVS ISA, SVS Markets, SVS Online, SVS Securities, SVS Sharewatch, SVS Sipp, SVS Trading, SVS XO

Registered office: Tower 12, 18/22 Bridge Street, Spinningfields, Manchester M3 3BZ

Principal trading address: 4th Floor, Princes Court, 7 Princes Street, London EC2R 8AQ

In the matter of The Investment Bank Special Administration Regulations 2011

NOTICE OF CLIENT MONEY BAR DATE

Under Regulations 12a And 12e of The Investment Bank Special Administration Regulations 2011 and Rule 138 of The Investment Bank Special Administration (England And Wales) Rules 2011

Julien Robert Irving and Andrew Poxon of Leonard Curtis Recovery Limited, Tower 12, 18-22 Bridge Street, Spinningfields, Manchester M3 3BZ and Alex David Cadwallader of Leonard Curtis Limited, 5th Floor Grove House, 248a Marylebone Road, London NW1 6BB were appointed as Joint Special Administrators (the “Joint Special Adminis­trators”) of SVS Securities plc (in special administration) (“SVS”), with company number 04402606 on 5 August 2019 pursuant to an application made by the directors of SVS under Regulation 5(1)(b) of The Investment Bank Special Administration Regulations 2011 (the “Regulations”).

The Joint Special Administrators hereby give notice, in accordance with Regulations 12A and 12E, as follows: 1. The Joint Special Administrators consider that it is necessary, in order to expedite the return of client money, to set a bar date of 17.00 hours (GMT) on 10 January 2020 (the “Client Money Bar Date”) for the submission of claims for the return of money which has been pooled in accordance with client money rules (“Client Money Claims”).

2. The Joint Special Administrators gave notice of their appointment in the London Gazette on 13 August 2019. The Joint Special Administrators consider that the time between publication of the notice of the special administration and the Client Money Bar Date is a reasonable time for clients to be able to calculate and submit their Client Money Claims.

3. The Client Money Bar Date only applies to client money and does not apply to other client assets. A separate notice is being provided for other client assets. This notice relates only to Client Money Claims and does not relate to any other type of claim you may have against SVS.

4. This notice will: a. be made available to all clients of SVS whose Client Money Claims the Joint Special Administrators are aware of, provided the Joint Special Administrators have a means of contacting those clients; b. be made available to all those persons whom the Joint Special Administrators believe have a right to assert a security interest or other entitlement over the client money, provided the Joint Special Administrators have a means of contacting those persons; c. be advertised in the London Gazette; d. be advertised in The Financial Times and the internationally distributed edition of The Financial Times; e. be sent to the Financial Conduct Authority; and f. be placed on the dedicated SVS webpage on the Leonard Curtis website.

5. Following the Client Money Bar Date, once the Joint Special Adminis­trators have returned client money, no payment or part of any payment made to any person under the distribution may be recovered for the purpose of meeting a late claim, in accordance with Regulation 12A(6).

6. If you fail to submit your Client Money Claim by the Client Money Bar Date, the Joint Special Administrators will not be able to guarantee that your Client Money Claim will be satisfied in whole or in part, or indeed at all in certain circumstances.

7. If you believe that you have a Client Money Claim, please follow the instructions provided to you in our letter dated 27 November 2019 and our guidance note which is available to view at www.leonardcurtis.co.uk/SVS.

8. Unless the Court orders otherwise, every claimant who submits a Client Money Claim under Regulation 12A must bear the cost of making its own Client Money Claim, including the costs incurred in providing documents or evidence or responding to requests for further information.

9. Receipt of this notice does not guarantee that you have a Client Money Claim or are otherwise entitled to receive a distribution of client money.

10. Any general queries in relation to this notice should be directed to 0203 457 4871 or svs@leonardcurtis.co.uk. We encourage any client unsure about the scope and effect of this notice to seek independent professional advice from a legal or financial advisor.

The Joint Special Administrators act as agents of SVS without personal liability.

Date of Appointment: 5 August 2019

Office Holder Details: Julien Irving (IP No. 13092) and Andrew Poxon (IP No. 8620) both of Leonard Curtis Recovery Limited, Tower 12, 18/22 Bridge Street, Spinningfields, Manchester, M3 3BZ and Alex Cadwallader , (IP No. 9501) of Leonard Curtis Limited, 5th Floor, Grove House, 248a Marylebone Road, London, NW1 6BB

Further Details contact: Carl Lever/Samantha O’Hara, Email: svs@leonardcurtis.co.uk, Tel: 0203 457 4871

Julien Irving, Joint Special Administrator

27 November 2019

Ag MG81792