Regulatory Changes Impact Overview

Oppenheimer & Co. Inc. Independent & Broker-Dealer (non-bank) Not impacted by Volcker Rule or Dodd Frank Has always been an agency player Depends on local knowledge & local relationships Invested in the Caribbean Broad Capabilities in: - Money Management ($21 billion) Capital Markets . Equities -160 professionals • OPPENHEIMER Fixed Income -140 professionals (emerging markets experienced professionals) 13

View entire presentation