PeakBridge is regulated in the European Union by the Malta Financial Securities Authorities (the “MFSA”) and licensed as a Category 2 in terms of the Investment Services Act. The Company qualifies as an Alternative Investment Fund Manager (“AIFM”) in terms of the AIFM Directive (“AFIMD”) and to provide investment management services to Professional Clients (as defined in Annex A and including collective investment schemes) in relation to Alternative Investment Funds, Transferable Securities, Money Market Instruments and Units in Collective Investment Schemes as listed in the second schedule to the Investment Services Act. PeakBridge is also licensed to act as an Investment Services Firm , in terms of the Markets in Financial Instruments Directive (“MiFID Cat 2”), and may provide individual portfolio management as well as investment advice to Professional Clients in relation to Transferable Securities, Money Market Instruments and Units in Collective Investment Schemes as listed in the second schedule of the ISA, in terms of SLC1.04 of Part B III of the Investment Services Rules for Investment Service Providers.