SEC FORM TA-1/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM TA-1

UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR AMENDMENTTO REGISTRATION PURSUANT TO SECTION 17A OF THESECURITIES EXCHANGE ACT OF 1934

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GENERAL:

Form TA-1 is to be used to register or amend registration as a transfer agent with the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the Securities and Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934. Read all instructions before completing this form. Please print or type all responses.

Form Version:3.2.0

1(a). Filer CIK: 0001419454

1(c). Live/Test Filing?

Live

Test

1(e). Is this filing an amendment to a previous filing?

Yes

1(e)(i). File Number: 084-06287

2. Appropriate regulatory agency (check one):

X	Securities and Exchange Commission
	Board of Governors of the Federal Reserve System
	Federal Deposit Insurance Corporation
	Comptroller of the Currency
	Office of Thrift Supervision

3(a). Full Name of Registrant:
Fidelity Business Services India Private Limited
3(a)(i). Previous name, if being amended:

3(b). Financial Industry Number Standard (FINS) number:334318
3(c). Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i). Address 1
Embassy Golf Links Business Park
3(c)(ii). Address 2
Off Intermediate Ring Road
3(c)(iii). City
Bangalore
3(c)(iv). State or Country
K7
INDIA
3(c)(v). Postal Code
560 071

3(d). Address of principal office where transfer agent activities are, or will be, performed:

Yes

If `yes,` provide address(es):
3(d)(i). Address 1
82 Devonshire Street
3(d)(ii). Address 2
G5B - Attn: Enterprise Compliance
3(d)(iii). City
Boston
3(d)(iv). State or Country
MA
MASSACHUSETTS
3(d)(v). Postal Code
02109
3(e). Telephone Number (Include Area Code)
(617) 563-7949

4. Does registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Question 3(c) above?

Yes

If `yes,` provide address(es):
4(a)(i). Address 1
Manyata Embassy Bus. Park: Outer Ring Rd
4(a)(ii). Address 2
Hebbal - Krishnarajpuram Section
4(a)(iii). City
Bangalore
4(a)(iv). State or Country
K7
INDIA
4(a)(v). Postal Code
560 045
4(a)(i). Address 1
No 45, North Phase,
4(a)(ii). Address 2
Thiru Vi-Ka Industrial Estate
4(a)(iii). City
Chennai
4(a)(iv). State or Country
K7
INDIA
4(a)(v). Postal Code
600 097
4(a)(i). Address 1
GKS TECHNOLOGIES PARK,
4(a)(ii). Address 2
1/24, SIVAJI GARDEN , MANAPAKKAM,
4(a)(iii). City
Chennai
4(a)(iv). State or Country
K7
INDIA
4(a)(v). Postal Code
600 089
4(a)(i). Address 1
UNI TECHWORLD TOWER D,
4(a)(ii). Address 2
CYBERPARK, SECTOR 39,
4(a)(iii). City
Gurgaon
4(a)(iv). State or Country
K7
INDIA
4(a)(v). Postal Code
122 001

5. Does registrant act, or will it act, as a transfer agent solely for its own securities and/or securities of an affiliate(s)?

Yes

6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?

Yes

If `yes,` provide the name(s) and address(es) of all service companies engaged, or that will be engaged, by the registrant to perform its transfer agent functions:

7. Has registrant been engaged, or will it be engaged, as a service company by a named transfer agent to perform transfer agent functions?

Yes

If `yes,` provide the name(s) and File Number(s) of the named transfer agent(s) for which the registrant has been engaged, or will be engaged, as a service company to perform transfer agent functions:
7(a). Name:
Fidelity Investments Institutional Operations Company, Inc.
7(b). File Number: 084-01839
7(c)(i). Address 1
300 Puritan Way
7(c)(ii). Address 2

7(c)(iii). City
Marlborough
7(c)(iv). State or Country
MA
MASSACHUSETTS
7(c)(v). Postal Code
01752

Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select `Not Applicable.`

8. Is registrant a:

X	Corporation
	Partnership
	Sole Proprietorship
	Other
	Not Applicable

Section for Initial Registration and for Amendments Reporting Additional Persons. (Corporation or Partnership)

8(a)(i). Full Name: FID Holding (Mauritius) Limited
8(a)(ii). Relationship Start Date: 10/08/2004
8(a)(iii). Title or Status: Shareholder

8(a)(iv). Ownership Code:

	NA - 0 to 5%
	A - 5% up to 10%
	B - 10% up to 25%
	C - 25% up to 50%
	D - 50% up to 75%
X	E - 75% up to 100%

8(a)(v). Control Person:

8(a)(vi). Relationship End Date:

8(a)(i). Full Name: Fidelity India Shared Services Partnership
8(a)(ii). Relationship Start Date: 10/26/2004
8(a)(iii). Title or Status: Shareholder

8(a)(iv). Ownership Code:

X	NA - 0 to 5%
	A - 5% up to 10%
	B - 10% up to 25%
	C - 25% up to 50%
	D - 50% up to 75%
	E - 75% up to 100%

8(a)(v). Control Person:

8(a)(vi). Relationship End Date:

8(a)(i). Full Name: FIL Limited
8(a)(ii). Relationship Start Date: 03/29/2007
8(a)(iii). Title or Status: Shareholder

8(a)(iv). Ownership Code:

	NA - 0 to 5%
	A - 5% up to 10%
X	B - 10% up to 25%
	C - 25% up to 50%
	D - 50% up to 75%
	E - 75% up to 100%

8(a)(v). Control Person:

8(a)(vi). Relationship End Date:

8(a)(i). Full Name: Fidelity International Services Limited
8(a)(ii). Relationship Start Date: 03/29/2007
8(a)(iii). Title or Status: Shareholder

8(a)(iv). Ownership Code:

X	NA - 0 to 5%
	A - 5% up to 10%
	B - 10% up to 25%
	C - 25% up to 50%
	D - 50% up to 75%
	E - 75% up to 100%

8(a)(v). Control Person:

8(a)(vi). Relationship End Date:

8(a)(i). Full Name: Surinder Singh
8(a)(ii). Relationship Start Date: 12/01/2005
8(a)(iii). Title or Status: Director (see Attachment 1)

8(a)(iv). Ownership Code:

X	NA - 0 to 5%
	A - 5% up to 10%
	B - 10% up to 25%
	C - 25% up to 50%
	D - 50% up to 75%
	E - 75% up to 100%

8(a)(v). Control Person:

8(a)(vi). Relationship End Date:

8(a)(i). Full Name: Caron McDonald
8(a)(ii). Relationship Start Date: 09/07/2006
8(a)(iii). Title or Status: Director (see Attachment 1)

8(a)(iv). Ownership Code:

X	NA - 0 to 5%
	A - 5% up to 10%
	B - 10% up to 25%
	C - 25% up to 50%
	D - 50% up to 75%
	E - 75% up to 100%

8(a)(v). Control Person:

8(a)(vi). Relationship End Date:

8(a)(i). Full Name: Yash Pal Syngal
8(a)(ii). Relationship Start Date: 08/14/2006
8(a)(iii). Title or Status: Director

8(a)(iv). Ownership Code:

X	NA - 0 to 5%
	A - 5% up to 10%
	B - 10% up to 25%
	C - 25% up to 50%
	D - 50% up to 75%
	E - 75% up to 100%

8(a)(v). Control Person:

8(a)(vi). Relationship End Date:

8(a)(i). Full Name: Richard Siegelman
8(a)(ii). Relationship Start Date: 02/04/2008
8(a)(iii). Title or Status: Transfer Agent CCO (see Attachment 1)

8(a)(iv). Ownership Code:

X	NA - 0 to 5%
	A - 5% up to 10%
	B - 10% up to 25%
	C - 25% up to 50%
	D - 50% up to 75%
	E - 75% up to 100%

8(a)(v). Control Person:

8(a)(vi). Relationship End Date:

9. Does any person or entity not named in the answer to Question 8:

9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant; or . . . .

Yes

9(a)(i). Exact name of each person or entity:
FMR LLCFIL Limited
9(a)(ii). Description of the Agreement or other basis:
Through certain of its direct or indirect subsidiaries, FMR LLC is one of the ultimate parent companies of Fidelity Business Services India Private Limited.Through certain of its direct or indirect subsidiaries, FIL Limited is one of the ultimate parent companies of Fidelity Business Services India Private Limited.

9(b). wholly or partially finance the business of applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others ? . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes

9(b)(i). Exact name of each person or entity:
FMR LLCFIL Limited
9(b)(ii). Description of the Agreement or other basis:
Directly and indirectly, through certain of its affiliated companies, FMR LLC wholly or partially finances Fidelity Business Services India Private Limited.Directly and indirectly, through certain of its affiliated companies, FIL Limited wholly or partially finances Fidelity Business Services India Private Limited.

10. Applicant and Control Affiliate Disciplinary History:
The following definitions apply for purposes of answering this Question 10

Control affiliate	- An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority.
Investment or investment related	- Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association).
Involved	- Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.

10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender (`no contest`) to:

10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting or extortion?

Yes

10(a)(2). any other felony?

Yes

10(b). Has any court in the past ten years:

10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity?

Yes

10(b)(2). found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations?

Yes

10(c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:

10(c)(1). found the applicant or a control affiliate to have made a false statement or omission?

Yes

10(c)(1)(i). The individuals named in the action or claim:
Fidelity Management and Research Company ("FMR Co.") and FMR Co., Inc

10(c)(1)(ii). Title of Action	10(c)(1)(iii). Date of Action
In the Matter of FMR Co. and FMR Co., Inc.	03/05/2008

10(c)(1)(iv). The Court or body taking the Action and location:
Securities and Exchange Commission
10(c)(1)(v). Description of the action or claim:
On March 5, 2008, the SEC entered a settlement order which contained the following findings, which FMR Co. and FMR Co., Inc. neither admitted nor denied: (1) Fidelity failed to reasonably supervise its employees' receipt of travel, entertainment and gifts from brokers; (2) Fidelity failed to seek best execution for its clients' securities transactions; (3) Fidelity failed to disclose the material conflict of interest arising from the receipt by certain employees of travel, entertainment and gifts from brokers; (4) Fidelity made materially false and misleading statements and omissions about its selection of brokers; and (5) Fidelity failed to keep certain communications with brokers concerning the placing or execution of orders to purchase or sell securities.
10(c)(1)(vi). Disposition of action or claim:
Agreed to (1) cease and desist from certain conduct; (2) a censure; (3) payment of an $8,000,000 fine to the United States Treasury; and (4) compliance with various undertakings relating to the engagement of an independent compliance consultant.

10(c)(2). found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes?

Yes

10(c)(2)(i). The individuals named in the action or claim:
National Financial Services Corporation

10(c)(2)(ii). Title of Action	10(c)(2)(iii). Date of Action
In the Matter of National Financial Services Corporation	01/10/1997

10(c)(2)(iv). The Court or body taking the Action and location:
U.S. Securities and Exchange Commission
10(c)(2)(v). Description of the action or claim:
U.S. Securities and Exchange Commission, Administrative Proceeding #3-9217. On January 10, 1997, an affiliate of the registrant, National Financial Services Corporation (NFSC) consented to the issuance of an Order by the Securities and Exchange Commission without admitting or denying the Commission?s findings. The Order related to the extension of credit, in 1993, on a particular security that was not, at the time, a margin security under Regulation T. Under the terms of the Order, NFSC consented to a censure and the payment of a civil penalty of $50,000.00.
10(c)(2)(vi). Disposition of action or claim:
Consent Agreement
10(c)(2)(i). The individuals named in the action or claim:
Fiserve Securities, Inc.

10(c)(2)(ii). Title of Action	10(c)(2)(iii). Date of Action
In the Matter of Fiserve Securities, Inc.	04/21/2005

10(c)(2)(iv). The Court or body taking the Action and location:
Securities and Exchange Commission
10(c)(2)(v). Description of the action or claim:
On April 21, 2005, Fiserve Securities, Inc. ("FSI"), without admitting or denying the findings, consented to the entry of a Securities and Exchange Commission ("SEC") order finding that it failed reasonably to supervise two employees in its New York City office and a senior vice president in its Philadelphia office. The SEC found that the two employees engaged in a market timing scheme on behalf of two FSI hedge fund customers. The SEC also found that the senior vice president engaged in a late trading and market timing scheme in his own account.
10(c)(2)(vi). Disposition of action or claim:
FSI agreed to a censure, to pay $5 million in disgorgement and prejudgement interest, and to pay a $10 million fine.
10(c)(2)(i). The individuals named in the action or claim:
Fidelity Brokerage Services LLC

10(c)(2)(ii). Title of Action	10(c)(2)(iii). Date of Action
In the Matter of Fidelity Brokerage Services LLC	07/31/2004

10(c)(2)(iv). The Court or body taking the Action and location:
Securities and Exchange Commission
10(c)(2)(v). Description of the action or claim:
On July 7, 2004, the Firm (Fidelity Brokerage Services LLC) made an offer of settlement to the SEC and the Commission accepted the offer on July 31, 2004. The Firm consented to the entry of an order finding that it had violated Section 17(A) of the Exchange Act and 17A-4(B)(4), thereunder, and had failed reasonably to supervise its employees.
10(c)(2)(vi). Disposition of action or claim:
The Firm agreed to a censure under Section 15(B)(4)(E), a cease and desist under Section 21C from violating Section 17(A) of the Exchange Act and 17A-4, thereunder, and a fine of $1,000.000.
10(c)(2)(i). The individuals named in the action or claim:
National Financial Services Corporation

10(c)(2)(ii). Title of Action	10(c)(2)(iii). Date of Action
In the Matter of National Financial Services Corporation	06/17/1991

10(c)(2)(iv). The Court or body taking the Action and location:
NYSE
10(c)(2)(v). Description of the action or claim:
National Financial Services Corporation, a member organization, violated SEC Regulation 240.15C3-3(B) and (D) in that it did not promptly obtain and thereafter maintain the physical possession or control of all fully paid securities and excess margin securities carried by it for the accounts of customer; SEC Regulation 240.15C3-3(E)(1) in that it failed on one or more occasions to maintain its reserve bank account at the level required by such regulation; SEC Regulation 240.15C3-3(E)(3) in that it inaccurately computed the amount required to be on deposit in its reserve bank account; SEC Regulation 240.17A-3(5) and Exchange Rule 440 in that it failed to make and keep current its books and records, and SEC Regulation 240.15C3-3(E)(1) in that it failed to ensure proper segregation of securities purchased for and intended to be deposited in its reserve bank account.
10(c)(2)(vi). Disposition of action or claim:
Consent to censure and fine of $25,000.
10(c)(2)(i). The individuals named in the action or claim:
Fidelity Management and Research Company ("FMR Co.") and FMR Co., Inc

10(c)(2)(ii). Title of Action	10(c)(2)(iii). Date of Action
In the Matter of FMR Co. and FMR Co., Inc	03/05/2008

10(c)(2)(iv). The Court or body taking the Action and location:
Securities and Exchange Commission
10(c)(2)(v). Description of the action or claim:
On March 5, 2008, the SEC entered a settlement order which contained the following findings, which FMR Co. and FMR Co., Inc. neither admitted nor denied: (1) Fidelity failed to reasonably supervise its employees' receipt of travel, entertainment and gifts from brokers; (2) Fidelity failed to seek best execution for its clients' securities transactions; (3) Fidelity failed to disclose the material conflict of interest arising from the receipt by certain employees of travel, entertainment and gifts from brokers; (4) Fidelity made materially false and misleading statements and omissions about its selection of brokers; and (5) Fidelity failed to keep certain communications with brokers concerning the placing or execution of orders to purchase or sell securities.
10(c)(2)(vi). Disposition of action or claim:
Agreed to (1) cease and desist from certain conduct; (2) a censure; (3) payment of an $8,000,000 fine to the United States Treasury; and (4) compliance with various undertakings relating to the engagement of an independent compliance consultant.

10(c)(3). found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?

Yes

10(c)(4). entered an order denying, suspending or revoking the applicant`s or a control affiliate`s registration or otherwise disciplined it by restricting its activities?

Yes

10(d). Has any other Federal regulatory agency or any state regulatory agency:

10(d)(1). ever found the applicant or a control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical?

Yes

10(d)(2). ever found the applicant or a control affiliate to have been involved in a violation of investment-related regulations or statutes?

Yes

10(d)(2)(i). The individuals named in the action or claim:
Fidelity Brokerage Services, Inc.

10(d)(2)(ii). Title of Action	10(d)(2)(iii). Date of Action
In the Matter of Fidelity Brokerage Services, Inc.	01/01/1990

10(d)(2)(iv). The Court or body taking the Action and location:
State of Vermont
10(d)(2)(v). Description of the action or claim:
In January, 1990, Applicant?s affiliate, Fidelity Brokerage Services, Inc., 161 Devonshire Street, Boston, MA 02110, entered into a Consent Order with the state of Vermont concerning agent registration deficiencies and paid $5,000.00 for costs of investigation.
10(d)(2)(vi). Disposition of action or claim:
Consent Order
10(d)(2)(i). The individuals named in the action or claim:
Fidelity Distributors, Corporation

10(d)(2)(ii). Title of Action	10(d)(2)(iii). Date of Action
In the Matter of Fidelity Distributors, Corporation	02/25/1994

10(d)(2)(iv). The Court or body taking the Action and location:
Arizona Corporation Commission
10(d)(2)(v). Description of the action or claim:
On February 25, 1994, Applicant?s affiliate, Fidelity Distributors, Corporation, 82 Devonshire Street, Boston, MA 02109, entered into a Consent Order with the Arizona Corporation Commission arising out of sales of unregistered shares of certain Fidelity funds to sixteen Arizona investors in violation of A.R.S. section 44-1841. Under the terms of the Order, Fidelity Distributors, Corporation consented to cease and desist from further violations of A.R.S. sections 44-1841, to pay an administrative penalty of $25,000.00 and to offer rescission to those Arizona residents who had purchased unregistered shares.
10(d)(2)(vi). Disposition of action or claim:
Consent Order
10(d)(2)(i). The individuals named in the action or claim:
FMR Corp.

10(d)(2)(ii). Title of Action	10(d)(2)(iii). Date of Action
In the Matter of FMR Corp.	05/02/1994

10(d)(2)(iv). The Court or body taking the Action and location:
Securities Division of the Commonwealth of Massachusetts
10(d)(2)(v). Description of the action or claim:
On May 2, 1994, Applicant?s affiliate, FMR Corp., 82 Devonshire Street, Boston, MA 02109 entered into a Consent Order with the Securities Division of the Commonwealth of Massachusetts. The Consent Order related to the failure by FMR Corp., on behalf of certain Fidelity Funds, to satisfy in a timely manner the annual reporting requirement set forth in the Division?s regulations under Massachusetts securities laws. Under the terms of the Consent Order, FMR Corp. was assessed an administrative penalty of $10,000.00.
10(d)(2)(vi). Disposition of action or claim:
Consent Order
10(d)(2)(i). The individuals named in the action or claim:
Fidelity Management & Research Company

10(d)(2)(ii). Title of Action	10(d)(2)(iii). Date of Action
In the Matter of Fidelity Management & Research Company	09/07/2000

10(d)(2)(iv). The Court or body taking the Action and location:
NY State Insurance Dept.
10(d)(2)(v). Description of the action or claim:
On September 7, 2000, the NY State Insurance Dept. entered into a stipulation agreement with Fidelity Management & Research Company. The stipulation related to the failure by Fidelity Management & Research Company to receive prior approval from the superintendent of insurance before acquiring beneficial ownership of securities representing 5% or more of the outstanding voting securities of a company that owned 100% of a NY domiciled life insurance company. Under the terms of the stipulation the superintendent approved the applicant?s acquisition of beneficial ownership of the securities and Fidelity Management & Research Company consented to the imposition of a civil penalty totaling $400,000.00.
10(d)(2)(vi). Disposition of action or claim:
Stipulation Agreement
10(d)(2)(i). The individuals named in the action or claim:
Fidelity Distributors Corporation

10(d)(2)(ii). Title of Action	10(d)(2)(iii). Date of Action
In the Matter of Fidelity Distributors Corporation	08/02/1990

10(d)(2)(iv). The Court or body taking the Action and location:
Illinois Securities Department
10(d)(2)(v). Description of the action or claim:
Fidelity Distributors Corporation ("FIDELITY") entered into a consent order of prohibition with the Illinois Securities Department (The "DEPARTMENT"), whereby, fidelity neither admitted nor denied certain findings of fact or conclusions of law made by the Department in that Fidelity failed to: 1) timely establish an account for a customer of one of its funds; 2) properly account for customer's funds for over a 90-day period; and 3) issue reasonable communication or notice to customer to minimize customer's losses. All, in violation of Sections 8.E(1)(B) of the Illinois Securities Law of 1953, ILL.REV. STAT., as amended, Ch 121 1/2, SEC.137.1.ET.SEQ. (The "ACT"). The consent order prohibits Fidelity to engage in the offering and selling of any securities in Illinois unless in compliance with the Act and the Rules and Regulations then in effect
10(d)(2)(vi). Disposition of action or claim:
Consent Order
10(d)(2)(i). The individuals named in the action or claim:
FMR Corp

10(d)(2)(ii). Title of Action	10(d)(2)(iii). Date of Action
In the Matter of FMR Corp	02/14/1995

10(d)(2)(iv). The Court or body taking the Action and location:
Securities Division of the Commonwealth of Massachusetts
10(d)(2)(v). Description of the action or claim:
On February 14, 1995, applicant's parent, FMR Corp., 82 Devonshire Street, Boston, MA 02109, entered into a consent order with the Securities Division of the Commonwealth of Massachusetts. The Consent order related to failure by FMR Corp., related to the offer of shares of Fidelity European Capital Appreciation Fund to residents of Massachusetts prior to the Fund's shares being registered for sale in Massachusetts under the terms of the consent order, FMR Corp. was assessed an administrative penalty of $3,000.
10(d)(2)(vi). Disposition of action or claim:
Consent Order
10(d)(2)(i). The individuals named in the action or claim:
Fidelity Brokerage Services, UK

10(d)(2)(ii). Title of Action	10(d)(2)(iii). Date of Action
In the Matter of Fidelity Brokerage Services, UK	05/01/1997

10(d)(2)(iv). The Court or body taking the Action and location:
Securities and Futures Authority Limited, United Kingdom
10(d)(2)(v). Description of the action or claim:
As the result of the conversion to a new computer system, the control affiliate (Fidelity Brokerage Services, UK) encountered operational difficulties in the recordkeeping and reporting of customer accounts. These difficulties prompted the affiliate to enter into undertakings with the Securities and Futures Authority Limited, United Kingdom ("SFA") to not take on new retail business for a period of six months. The SFA concluded that as a result of the operational difficulties, the affiliate violated SIB Principles 2 and 9.
10(d)(2)(vi). Disposition of action or claim:
The affiliate was assessed 200,000 pounds (sterling) in fines and 162,500 pounds (sterling) in investigation costs.

10(d)(3). ever found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?

Yes

10(d)(4). in the past ten years entered an order against the applicant or a control affiliate in connection with investment-related activity?

Yes

10(d)(5). ever denied, suspended, or revoked the applicant`s or a control affiliate`s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities?

Yes

10(d)(6). ever revoked or suspended the applicant`s or a control affiliate`s license as an attorney or accountant?

Yes

10(e). Has any self-regulatory organization or commodities exchange ever:

10(e)(1). found the applicant or a control affiliate to have made a false statement or omission?

Yes

10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules?

Yes

10(e)(2)(i). The individuals named in the action or claim:
National Financial Services Corporation

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services Corporation	09/27/1991

10(e)(2)(iv). The Court or body taking the Action and location:
New York Stock Exchange
10(e)(2)(v). Description of the action or claim:
On September 27, 1991, Applicant?s affiliate, National Financial Services Corporation, 161 Devonshire Street, Boston, MA 02110, was fined $1,000.00 by the by the New York Stock Exchange for a violation of NYSE Rule 412. The violation related to a ?High Percentage (2%) of ACAT purged accounts for two consecutive months (June, July 1991) within a six month period.?
10(e)(2)(vi). Disposition of action or claim:
Fine
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services Corporation

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services Corporation	03/01/1991

10(e)(2)(iv). The Court or body taking the Action and location:
New York Stock Exchange
10(e)(2)(v). Description of the action or claim:
In 1990, the New York Stock Exchange initiated disciplinary proceedings against the applicant?s affiliate, National Financial Services Corporation (?NFSC?), 161 Devonshire Street, Boston, MA 02110, alleging that in 1986 and 1987 NFSC committed certain violations of SEC Rules 15(c)3-3 and 17(a)-3 relating to reserves and possession/control requirements. In March, 1991, without admitting or denying guilt, NFSC consented to a censure and fine of $25,000.00.
10(e)(2)(vi). Disposition of action or claim:
Consent Agreement
10(e)(2)(i). The individuals named in the action or claim:
The Crosby Corporation

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of The Crosby Corporation	03/15/1973

10(e)(2)(iv). The Court or body taking the Action and location:
National Association of Securities Dealers, Inc.
10(e)(2)(v). Description of the action or claim:
The Crosby Corporation (?Crosby?), an affiliate of predecessor of applicant, voluntarily submitted a Letter of Admission, Waiver and Consent to the National Association of Securities Dealers, Inc., (?NASD?) on March 15, 1973 relating to Crosby?s dissemination of a sales brochure which contained references to uses of The Partial Withdrawal and Reinstatement Privileges which were found to be in conflict with an NASD interpretation. Crosby was found to have violated Article III, Section I of the NASD Rules of Fair Practice and was assessed a fine of $5,000.00 which it paid on March 30, 1973.
10(e)(2)(vi). Disposition of action or claim:
The Crosby Corporation (?Crosby?), an affiliate of predecessor of applicant, voluntarily submitted a Letter of Admission, Waiver and Consent.
10(e)(2)(i). The individuals named in the action or claim:
Fidelity Distributors Corporation and Arthur S. Loring

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of Fidelity Distributors Corporation and Arthur S. Loring	04/28/1988

10(e)(2)(iv). The Court or body taking the Action and location:
National Association of Securities Dealers, Inc.
10(e)(2)(v). Description of the action or claim:
The Applicant?s affiliate, Fidelity Distributors Corporation (?FDC?), 82 Devonshire Street, Boston, MA 02109, and Arthur S. Loring, CRD # 312799, on April 28, 1988, voluntarily submitted a letter of Admission, Waiver and Consent to the NASD relating to the timeliness of Applicant?s response to NASD advertising and sales literature comments during the period November, 1985 to February, 1987, and its failure in connection with one item of sales literature to file it on a timely basis. Due to unprecedented growth in FDC?s activity during this period and its inability to find experienced personnel to replace departing employees promptly in this area, FDC was unable to do so. During late 1986 and early 1987, new, senior personnel were added and procedures strengthened, with the result that the timeliness issue has been corrected since early 1987. Without admitting or denying any violative conduct, FDC, accepted and consented to findings by the NASD of violation of Article III, Sections I and 35(c)(1) of the NASD?s Rules of Fair Practice. It consented to a censure and fine in the amount of $50,000.00. It also agreed for a period of 90 days to submit all written advertisements or sales literature subsequently filed with the NASD for pre-clearance by special counsel retained for this purpose. Such penalties were accepted by the NASD.
10(e)(2)(vi). Disposition of action or claim:
Fidelity Distributors Corporation and Arthur S. Loring voluntarily submitted a letter of Admission, Waiver and Consent.
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services Corporation

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services Corporation	03/29/1999

10(e)(2)(iv). The Court or body taking the Action and location:
National Association of Securities Dealers, Inc.
10(e)(2)(v). Description of the action or claim:
On March 29, 1999, National Financial Services Corporation (NFSC) entered into a Letter of Acceptance, Waiver and Consent with the National Association of Securities Dealers, Inc. in which NFSC, without admitting or denying allegations of rule violations, consented to the entry of findings relating to NFSC?s submission of short interest positions on behalf of another member firm and failure to report short positions in ten securities for that firm in July 1997. The Letter provided for a censure and a fine in the amount of $4,000. Complaint # CMS990036AWC.
10(e)(2)(vi). Disposition of action or claim:
Letter of Acceptance, Waiver and Consent
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services Corporation

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services Corporation	04/14/1988

10(e)(2)(iv). The Court or body taking the Action and location:
New York Stock Exchange
10(e)(2)(v). Description of the action or claim:
Applicant?s affiliate, National Financial Services Corporation, 161 Devonshire Street, Boston, MA 02110 was fined $1,000 by the New York Stock Exchange on April 14, 1988, for a violation of NYSE Rule 132.30 in that it failed to submit audit trail data for transactions effected on the floor of the Exchange.
10(e)(2)(vi). Disposition of action or claim:
Fine
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services Corporation

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services Corporation	02/18/1987

10(e)(2)(iv). The Court or body taking the Action and location:
New York Stock Exchange, Inc.
10(e)(2)(v). Description of the action or claim:
National Financial Services Corporation (NFSC) was fined $1,000.00 by the New York Stock Exchange, Inc. on February 18, 1987 for a violation of Rule 132.30 in that NFSC failed to submit Audit Trail Data for transactions effected on the floor of the Exchange.
10(e)(2)(vi). Disposition of action or claim:
Fine
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services Corporation

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services Corporation	05/25/1999

10(e)(2)(iv). The Court or body taking the Action and location:
National Association of Securities Dealers, Inc.
10(e)(2)(v). Description of the action or claim:
On May 25, 1999, the National Association of Securities Dealers, Inc. accepted a Letter of Acceptance, Waiver and Consent in which National Financial Services Corporation (NFSC) without admitting or denying allegations of rule violations, consented to the entry of the following findings: (i) NFSC failed to immediately display 10 customer limit orders in NFSC?s public quote where each such order was a price better than NFSC?s public quote or at a price equal to NFSC?s public quote when such quote was priced equal to the national best bid or offer in such a security and that order represented more than a de minimis change in relation to the size associated with NFSC?s bid or offer, (ii)NFSC failed to use reasonable diligence to ascertain the best inter-dealer market for such a security, with respect to 3 orders, and buy and sell in such market so that the resultant price to each customer was as favorable as possible under prevailing market conditions, (iii) NFSC entered 31 priced orders on trade dates August 4 through August 8, 1997, into Select Net Broadcast that were each priced better than the Firm?s public quote without reflecting each such order in the Firm?s public quote. The AWC required the payment of a $5,500 fine. AWC # CMS990051.
10(e)(2)(vi). Disposition of action or claim:
Letter of Acceptance, Waiver and Consent
10(e)(2)(i). The individuals named in the action or claim:
National Financial Service, LLC

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Service, LLC	12/21/2006

10(e)(2)(iv). The Court or body taking the Action and location:
NYSE
10(e)(2)(v). Description of the action or claim:
National Financial Service, LLC (NFS) consented to a fine of $125,000 in connection with the NYSE's allegations that NFS (A) violated Exchange Act Rules 15c3-3(B) and 15c3-3(D) by failing to promptly obtain and thereafter maintain the physical possession or control of certain fully-paid and excess margin securities that it carried for its customers' accounts; (B) violated Exchange Act Rule 17A-4 and NYSE Rule 440 by failing to preserve certain electronic communications relating to its business in a non-rewritable, non-erasable format; and (C) violated NYSE Rule 345 by failing to provide for, establish and maintain appropriate procedures of supervision and control with respect to the possession or control of fully-paid and excess margin securities carried for its customers' accounts, the retention and review of electronic communications, and the monitoring of employee accounts held away from NFS.
10(e)(2)(vi). Disposition of action or claim:
Fine paid to NYSE Regulation on December 21, 2006 in the amount of $125,000.
10(e)(2)(i). The individuals named in the action or claim:
Fidelity Brokerage Services LLC

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of Fidelity Brokerage Services LLC	07/08/2004

10(e)(2)(iv). The Court or body taking the Action and location:
NYSE
10(e)(2)(v). Description of the action or claim:
The NYSE alleged that between January 2001 and July 2002, in connection with the annual branch inspection process and the creation and maintenance of its records, the Firm (Fidelity Brokerage Services LLC) violated NYSE Rule 440 and Section 17(A) of the Exchange Act, and Rule 17A-4, thereunder, by failing to preserve certain books and records and failing to preserve other books and records accurately. The NYSE also alleged that the Firm violated NYSE Rule 342 in that it failed reasonably to provide for appropriate supervisory control to comply with the above Federal Securities Laws and NYSE Rules, including a separate system of follow-up and review. On July 8, 2004, the Firm made an offer of settlement to the NYSE and the Exchange hearing panel accepted the offer on July 8, 2004. The Firm consented to the entry of an order finding that it had violated Section 17(A) of the Exchange Act and 17A-4(B)(4) thereunder and had failed reasonably to supervise its employees.
10(e)(2)(vi). Disposition of action or claim:
The firm agreed to a censure and a total find of $2,000,000, with $1,000,000 to the NYSE and $1,000,000 to the U.S. Treasury in a related SEC proceeding.
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services, LLC

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services, LLC	05/03/2002

10(e)(2)(iv). The Court or body taking the Action and location:
NASD Regulation, Inc.
10(e)(2)(v). Description of the action or claim:
On May 3, 2002, National Financial Services, LLC ("NFS") entered into a Letter of Acceptance, Waiver and Consent with NASD Regulation, Inc. ("NASD"), in which NFS accepted, without admitting or denying the allegations, findings that NFS transmitted to the NASD order audit trail system ("OATS") order reports, which were erroneous in certain respects and that NFS's written supervisory procedures did not provide sufficient measures to detect and avoid said errors. NFS agreed to a censure and a fine of $70,000.
10(e)(2)(vi). Disposition of action or claim:
Letter of Acceptance, Waiver and Consent
10(e)(2)(i). The individuals named in the action or claim:
National Financial Service LLC

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Service LLC	04/22/2003

10(e)(2)(iv). The Court or body taking the Action and location:
NASD
10(e)(2)(v). Description of the action or claim:
On April 22, 2003, the NASD accepted a Letter of Acceptance, Waiver and Consent. It was alleged that NFS caused a locked/crossed market condition prior to the market opening by entering a bid that locked/crossed another market maker's quotations without immediately thereafter, sending through Selectnet to the market maker(s) whose quotes it locked or crossed a trade-or-move message that was at the receiving market maker's quoted price and whose aggregate size was at least 5,000 shares.
10(e)(2)(vi). Disposition of action or claim:
Letter of Acceptance, Waiver and Consent.
10(e)(2)(i). The individuals named in the action or claim:
NFS LLC

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of NFS LLC	09/27/2002

10(e)(2)(iv). The Court or body taking the Action and location:
NASD
10(e)(2)(v). Description of the action or claim:
On September 27, 2002, the NASD accepted a Letter of Acceptance, Waiver and consent in which NFS LLC ("NFSC") without admitting or denying allegations of rule violations, consented to the entry of the following findings: (1) in a total of sixty-two instances in 1997 and 1999, NFSC, without making reasonable efforts to avoid a locked or crossed market, entered a bid or ask quotation in the NASDAQ Stock Market, Inc., which caused a locked or crossed market condition to occur; and (2) in fifty instances in November and December 2000, NFSC caused a locked/crossed market condition prior to the market opening by either (i) entering a quotation (e.e. bid or ask) that locked / crossed another market maker's quotations without immediately thereafter, sending a Selectnet trade-or-move message to the other market maker, or (ii) upon receiving a Selectnet trade-or-move message from another market maker, NFSC failed within 30 seconds thereafter, to fill the incoming message or move its quote (e.e. bid or ask) by a quotation increment that would have unlocked/uncrossed the market.
10(e)(2)(vi). Disposition of action or claim:
NFS consented to a censure and the payment of $30,000 fine. AWC NO. CMS010144
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services, LLC

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services, LLC	06/13/1997

10(e)(2)(iv). The Court or body taking the Action and location:
NASD
10(e)(2)(v). Description of the action or claim:
On June 13, 1997, the NASD accepted a Letter of Acceptance, Waiver and Consent in which National Financial Services, LLC, without admitting or denying allegations of rule violations, consented to the entry of findings relating to the failure to ascertain the best inter-dealer market for a security with respect to the order.
10(e)(2)(vi). Disposition of action or claim:
The AWC required payment of $1,000 to the NASD. MS970004(A)AWC.
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services, LLC

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services, LLC	07/11/1997

10(e)(2)(iv). The Court or body taking the Action and location:
NASD
10(e)(2)(v). Description of the action or claim:
On July 11, 1997, the NASD accepted a Letter of Acceptance, Waiver and consent in which National Financial Services, LLC, without admitting or denying allegations of rule violations, consented to the entry of findings relating to the cancellation and re-execution of orders by an unaffiliated market maker
10(e)(2)(vi). Disposition of action or claim:
The AWC required the payment of $2,500 to the NASD. CMS970003(A)AWC.
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services LLC

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services LLC	04/22/2003

10(e)(2)(iv). The Court or body taking the Action and location:
NASD
10(e)(2)(v). Description of the action or claim:
On April 22, 2003 the NASD accepted a Letter of Acceptance Waiver and Consent from National Financial Services LLC. The following items were alleged: failure to correctly report trades with .PRP Modifer; failure to display immediately, the customer limit orders in NASDQ Securities in its public quotation in circumstances, when each such order was at a price that would have improved the member firm's bid or offer and the national best bid or offer in such security, and the size of the order represented more than a deminimis change in relation to the size associated with its bid or offer in each security; failure to report to ACT the correct symbol indicating whether member executed transactions in eligible securities in a principal or agency capacity; failure to report to ACT the correct designation indicating whether member firm executed transactions in eligible securities as riskless principal transactions.
10(e)(2)(vi). Disposition of action or claim:
The NASD accepted a Letter of Acceptance Waiver and Consent from National Financial Services LLC.
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services, LLC (formerly National Financial Services Corporation)

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services, LLC (formerly National Financial S	02/11/2000

10(e)(2)(iv). The Court or body taking the Action and location:
National Association of Security Dealers, Inc.
10(e)(2)(v). Description of the action or claim:
On 2/11/00, National Financial Services, LLC (formerly National Financial Services Corporation), entered into a Letter of Acceptance, Waiver and Consent with the National Association of Security Dealers, Inc. in which the applicant, without admitting or denying allegations of the rule violations consented to the entry offending relations to failing to display immediately 6 customer limit orders in NASDAQ securities in its public quotation, when each such order was at a price that would have improved its bid or offer in each such security; or when the full size of each such order was priced equal to its bid or offer and the National Best Bid or Offer for each such security, and represented more than a de minimus charge in relation to the size associated with its bid or offer in each such security.
10(e)(2)(vi). Disposition of action or claim:
National Financial Services, LLC (formerly National Financial Services Corporation), entered into a Letter of Acceptance, Waiver and Consent with the National Association of Security Dealers, Inc. The AWC required a payment of $5,000 fine.
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services, LLC

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services, LLC	07/26/2000

10(e)(2)(iv). The Court or body taking the Action and location:
National Association of Securities Dealers, Inc.
10(e)(2)(v). Description of the action or claim:
On July 26, 2000, National Financial Services, LLC entered into a letter of Acceptance, Waiver and Consent with the National Association of Securities Dealers, Inc in which National Financial Services, LLC, without admitting or denying allegations of rule violations, consented to the entry of findings relating to failure to report FIPS 23 transactions in FIPS securities within 5 minutes after execution.
10(e)(2)(vi). Disposition of action or claim:
The AWC required a payment of a $5,000 fine. AWC NO MRD199918581
10(e)(2)(i). The individuals named in the action or claim:
Fidelity Brokerage Services, LLC

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of Fidelity Brokerage Services, LLC	03/12/2002

10(e)(2)(iv). The Court or body taking the Action and location:
NASD
10(e)(2)(v). Description of the action or claim:
Fidelity Brokerage Services, LLC, (FBS) entered into a Letter of Acceptance, waiver and consent with the NASD in which FBS, without admitting or denying allegations, consented to the entry of findings that, over a 15-month period, FBS entered into 12 settlement agreements that failed to inform the customers that the confidentiality clauses contained in the agreements did not restrict their ability to communicate with self-regulatory organizations about the settlement
10(e)(2)(vi). Disposition of action or claim:
Letter of Acceptance, waiver and consent. The AWC required a payment of a $5,000 fine.
10(e)(2)(i). The individuals named in the action or claim:
National Financial Services LLC and three affiliated broker-dealers

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the Matter of National Financial Services LLC and three affiliated broker-dea	02/05/2007

10(e)(2)(iv). The Court or body taking the Action and location:
NASD
10(e)(2)(v). Description of the action or claim:
National Financial Services LLC and three affiliated broker-dealers (Fidelity Brokerage Services LLC, Fidelity Investment Institutional Services Company, Inc., and Fidelity Distributors Corporation) consented to a censure, a $3.75 million fine for which they are jointly and severally liable, and to various undertakings in connection with the NASD's allegations that the firms (A) violated Exchange Act Rule 17A-4 and NASD Rule 3110 by failing to retain electronic communications in the format and for the length of time required by those rules; (B) violated NASD Rule 1031 by allowing employees who were neither required nor permitted to be registered to retain their registrations; (C) violated NASD Rule 3010 by failing to assign a registered supervisor to numerous registered persons; (D) failed to supervise the registration of employees and the process for retaining electronic communications; and (E) that with respect to affiliate Fidelity Distributors Corporation it failed to supervise its registered persons who accepted gifts and entertainment in violation of the firm's policies.
10(e)(2)(vi). Disposition of action or claim:
On February 5, 2007, the NASD entered an AWC in which National Financial Services LLC and three affiliated broker-dealers consented to a censure, a $3.75 million fine, for which they are jointly and severally liable and to various undertakings.
10(e)(2)(i). The individuals named in the action or claim:
Fidelity Distributors Corp and Fidelity Investments Institutional Services Company, Inc.

10(e)(2)(ii). Title of Action	10(e)(2)(iii). Date of Action
In the matter of Fidelity Distributors Corp & Fidelity Investments Inst	05/08/2007

10(e)(2)(iv). The Court or body taking the Action and location:
NASD
10(e)(2)(v). Description of the action or claim:
The registrant and an affiliated broker-dealer consented to a censure, a $400,000 fine for which they are jointly and severally liable, and to various undertakings, in connection with the NASD's allegations that (1) the firms violated NASD advertising rules by preparing and distributing misleading sales literature relating to Fidelity's Destiny I and II Systematic Investment Plans and (20 Fidelity did not adequately supervise the review of this sales literature in light of the unusual features of the Destiny products.
10(e)(2)(vi). Disposition of action or claim:
Firm & affiliate censured, fined $400,000 and undertakings re alleged violations of advertising rules and alleged failure to supervise ad review process.

10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business?

Yes

10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities?

Yes

10(f). Has any foreign government, court, regulatory agency, or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud?

Yes

10(f)(1)(i). The individuals named in the action or claim:
Fidelity Investments (Taiwan) Limited ("FITL")

10(f)(1)(ii). Title of Action	10(f)(1)(iii). Date of Action
In the matter of Fidelity Investments (Taiwan) Limited ("FITL")	07/06/1999

10(f)(1)(iv). The Court or body taking the Action and location:
Taiwan Securities and Futures Commission
10(f)(1)(v). Description of the action or claim:
Notice of Sanction - the Taiwan Securities and Futures Commission alleged that FITL had provided Taiwan banks with material which included references to funds not registered in Taiwan. It was ordered that a vice president of FITL be discharged from his duties from 6th July, 1999 for five years. Subsequent amendments to the Securities and Exchanges Law in Taiwan reduced the period of discharge generally to three years, with the result that the discharge order specific to the vice president lapsed on 6th July, 2002.
10(f)(1)(vi). Disposition of action or claim:
FITL disputed the finding of the Taiwan Securities and Futures Commission prior to the receipt of the notice but obeyed the notice and discharged the vice president in question.
10(f)(1)(i). The individuals named in the action or claim:
Fidelity Investments International ("FII")

10(f)(1)(ii). Title of Action	10(f)(1)(iii). Date of Action
In the matter of Fidelity Investments International ("FII")	05/01/2003

10(f)(1)(iv). The Court or body taking the Action and location:
Conseil de Discipline de la Gestion Financiere, Paris France
10(f)(1)(v). Description of the action or claim:
In May 2003 FII received a warning ("avertissement") from the Conseil de Discipline de la Gestion Financiere (Financial Management Disciplinary Council) in France. The basis of the warning is that between 1994 and 1998 Fidelity Currency Funds were publicly offered in France before registration, even though there was no active marketing or promotion of the products at the time. No investors complaints were received.
10(f)(1)(vi). Disposition of action or claim:
FII disputed this but given that the funds in question have now been registered for public sale in France and the time that had expired it did not appeal the warning.

10(g). Is the applicant or a control affiliate now the subject of any proceeding that could result in a yes answer to questions 10(a) - 10(f)?

Yes

10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate?

Yes

10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it?

Yes

ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

SIGNATURE:	The Registrant submitting this Form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true, correct and complete.

11(a). Signature of Official responsible for Form: Richard Siegelman	11(b). Telephone Number: (617) 563-7949
11(c). Title of Signing Officer: Transfer Agent CCO	11(d). Date Signed (Month/Day/Year) 04/28/2008