| Filer CIK | 0001062577 |
| Filer CCC |
**********
|
| Is this a LIVE or TEST Filing? |  LIVE
TEST
|
| Would you like a Return Copy? |  |
Submission Contact Information | |
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |  |
| Notification E-mail Address |
FORM SBSE-A
Application for Registration as a Security-based Date: Applicant NFA Number: 289121 |
|
| A. Full name of the applicant | MERRILL LYNCH INTERNATIONAL |
| B. IRS Empl. Ident. No.: | 13-3779485 |
| C. Applicant's NFA ID #: | 289121 |
Applicant's CIK #: | 0001062577 |
Applicant’s UIC # (if any): | GGDZP1UYGU9STUHRDP48 |
| D. Applicant's Main Address: (Do not use a P.O. Box) | |
Street Address 1: | 2 KING EDWARD STREET |
Street Address 2: | |
City: | LONDON |
State/Province/Country: |
UNITED KINGDOM
|
Zip/ Postal Code: | EC1A 1HQ |
| E. Mailing Address, if different: | |
Street Address 1: | |
Street Address 2: | |
City: | |
State/Province/Country: | |
Zip/ Postal Code: | |
| F. Business Telephone Number: | 212-449-1000 |
| G. Website/URL: | https://d1io3yog0oux5.cloudfront.net/_9e701445c81b5e6b4d64feb25187624d/bankofamerica/db/909/8353/pdf/MLI+Fact+Sheet+June+2021.pdf |
| H. Contact Employee: | |
Prefix: | |
First Name: | Michelle |
Middle Name: | |
Last Name: | Leddy |
Suffix: | |
Title: | Director; EAC Compliance & Operational Risk Manager |
Phone: | 646-855-4726 |
Email Address: | michelle.leddy@bofa.com |
| I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k): | |
Prefix: | |
First Name: | DINESH |
Middle Name: | BHAGWAN |
Last Name: | SADARANGANI |
Suffix: | |
Title: | Mng Dir; Intl Comp & Op Risk Exec |
Phone: | 44-20-7995-3694 |
Email Address: | dinesh.sadarangani@bofa.com |
| Date | 09-19-2025 |
| Name of Applicant | MERRILL LYNCH INTERNATIONAL |
| By: Signature | /s/ Charles Peters |
| Name of Person Signing on Applicant's behalf | Charles Peters |
| Title of Person Signing on Applicant's behalf | CFO |
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
MERRILL LYNCH INTERNATIONAL
Date:
Applicant NFA No.:
289121
| A. The applicant is registering as a security-based swap dealer: |  Yes
No
|
| B. The applicant is registering as a major security-based swap participant: | Yes
No
|
| A. Is the applicant a foreign security-based swap dealer that intends to: | |
| Yes
No
|
| Yes
No
|
| with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder? | |
| B. If "yes" to either of the questions in Item 3.A. above, identify the foreign financial regulatory authority that serves as the applicant's primary regulator and for which the Commission has made, or may make, a substituted compliance determination: | United Kingdom/Financial Conduct Authority; United Kingdom/Prudential Regulation Authority |
| C. If the applicant is relying on a previously granted substituted compliance determination, please describe how the applicant satisfies any conditions the Commission may have placed on such substituted compliance determination: | The firm has reviewed the relevant Substituted Compliance Order of the SEC and has established a program to address the necessary or appropriate policies, procedures, and control framework designed to comply with any conditions relevant to, amongst others, the following areas: Trade Acknowledgement and Verification (Paragraph (b)(2) of the Order); Portfolio Reconciliation and Dispute Reporting (Paragraph (b)(3) of the Order); Portfolio Compression (Paragraph (b)(4) of the Order); Trading Relationship Documentation (Paragraph (b)(5) of the Order); Capital (Paragraph (c)(1) of the Order); Margin (Paragraph (c)(2) of the Order); Filing of Reports (Paragraph (f)(3) of the Order); Securities Counts (Paragraph (f)(5) of the Order). |
| Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? | Yes
No
|
| A. The applicant is currently registered with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
| B. The applicant is registering with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
| Is the applicant a U.S. branch of a non-resident entity? | Yes
No
|
| Briefly describe the applicant's business: | Merrill Lynch International (MLI), a subsidiary of Bank of America Corporation, provides a wide range of financial services to international clients in Europe, the Middle East and Africa, Asia Pacific and the Americas. MLI is headquartered and operates in the United Kingdom, with branches in Qatar and Dubai, and representative offices in Zurich. MLI is authorized by the Prudential Regulation Authority (PRA) and is regulated by the Financial Conduct Authority and the PRA. MLI's business activities include broker and dealer activities in equities and fixed income, currency, and commodities financial instruments;investment banking advisory and underwriting services; post trade related services; and equity and fixed income research. |
| Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. | Yes
No
|
| Is the applicant registered with the Commission as an investment adviser? | Yes
No
|
| A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? | Yes
No
|
| Does applicant engage in any other non-securities, financial services industry-related business? | Yes
No
|
If "yes," describe each other business briefly on Schedule B, Section I.
| Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? | Yes
No
|
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
MERRILL LYNCH INTERNATIONAL
Date:
Applicant NFA No.:
289121
| Does the applicant have any arrangement: | |
| A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? | Yes
No
|
| B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? | Yes
No
|
If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.
| Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
| Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others. | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
| Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? | Yes
No
|
If "yes," complete appropriate items on Schedule B, Section Ill.
| Is the applicant registered with a foreign financial regulatory authority? | Yes
No
|
If "yes," list all such registrations on Schedule F, Page 1, Section II.
| The applicant has ___ principals who are individuals. | 12 |
Please list all principals who are individuals on Schedule A.
| Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section IV.
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
MERRILL LYNCH INTERNATIONAL
Date:
Applicant NFA No.:
289121
Use Schedule A to identify all principals of the applicant who are individuals.
Complete the "Title or Status" column by entering board/management titles;
status as partner, trustee, sole proprietor, or shareholder; and for shareholders,
the class of securities owned (if more than one is issued).
Ownership Codes are:
NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more
| Prefix | |
| Individuals: Last Name | Mensah |
| Individuals: First Name | Bernard |
| Individuals: Middle Name | Amponsah |
| Suffix | |
| Title or Status | Director/Chief Executive Officer |
| Date Title or Status Acquired(MM/YYYY) | 07/2018 |
| Date Individual began working for applicant (MM/YYYY) | 07/2015 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 487786 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Slowey |
| Individuals: First Name | Martina |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function/Director |
| Date Title or Status Acquired(MM/YYYY) | 11/2020 |
| Date Individual began working for applicant (MM/YYYY) | 11/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 532278 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | De Weck |
| Individuals: First Name | Pierre Jacques |
| Individuals: Middle Name | Philippe |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 06/2018 |
| Date Individual began working for applicant (MM/YYYY) | 06/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 470677 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Keys |
| Individuals: First Name | Richard |
| Individuals: Middle Name | John |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 05/2017 |
| Date Individual began working for applicant (MM/YYYY) | 05/2017 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 506695 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Thorne |
| Individuals: First Name | Rosemary |
| Individuals: Middle Name | Prudence |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 08/2017 |
| Date Individual began working for applicant (MM/YYYY) | 08/2017 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 507499 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Woods |
| Individuals: First Name | Thomas |
| Individuals: Middle Name | Dunne |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2020 |
| Date Individual began working for applicant (MM/YYYY) | 03/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 496348 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Peters |
| Individuals: First Name | Charles |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Financial Officer |
| Date Title or Status Acquired(MM/YYYY) | 03/2023 |
| Date Individual began working for applicant (MM/YYYY) | 03/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 444710 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Sadarangani |
| Individuals: First Name | Dinesh |
| Individuals: Middle Name | Bhagwan |
| Suffix | |
| Title or Status | Chief Compliance Officer |
| Date Title or Status Acquired(MM/YYYY) | 09/2023 |
| Date Individual began working for applicant (MM/YYYY) | 08/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 558757 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Spell |
| Individuals: First Name | Douglas |
| Individuals: Middle Name | Charles |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 12/2023 |
| Date Individual began working for applicant (MM/YYYY) | 11/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 560329 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Francis |
| Individuals: First Name | Clare |
| Individuals: Middle Name | Louise |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 05/2024 |
| Date Individual began working for applicant (MM/YYYY) | 04/2024 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 563715 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Ahuwalia |
| Individuals: First Name | Kanwardeep |
| Individuals: Middle Name | Singh |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 05/2025 |
| Date Individual began working for applicant (MM/YYYY) | 03/2025 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 571106 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
| Prefix | |
| Individuals: Last Name | Weinstein |
| Individuals: First Name | Brian |
| Individuals: Middle Name | K. |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 08/2025 |
| Date Individual began working for applicant (MM/YYYY) | 07/2025 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 572504 |
| CRD No. | 001780495 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
MERRILL LYNCH INTERNATIONAL
Date:
Applicant NFA No.:
289121
Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.
| This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: | Initial
Amended
|
| UIC (if any), or other Unique Identification Number(s): | |
| Assigning Regulator(s)/Entity(s): | |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: | MLI's non-securities related financial services including, among others, Swap Dealer activities, safekeeping and administration of financial instruments for the account of clients, including custodianship and related services; granting credits or loans to an investor to carry out a transaction in one or more financial instruments; advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings; foreign exchange services where these are connected to the provision of investment services; investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments; and services related to underwriting. In this context, financial instrument is broadly: transferable securities, money market instruments, units in collective investment schemes, and derivatives on the foregoing and a wide range of non-securities based underliers. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Workday, Inc |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 6110 STONERIDGE MALL RD |
Street Address 2 | |
City | Pleasanton |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 94588 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Personnel Records, including but not limited to questionnaires or applications for employment and a listing of associated persons and their work location. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Markit North America, Inc |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 450 West 33rd Street |
Street Address 2 | 5th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 100001 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Compliance Records, including but not limited to documentation of compliance with business conduct standards, disclosures, and notifications. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Micro Focus, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 4555 Great America Pkwy |
Street Address 2 | |
City | Santa Clara |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 95054-1243 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Communication Records, including but not limited to electronic communications. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Proofpoint, Inc. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 892 Ross Drive |
Street Address 2 | |
City | Sunnyvale |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 94089 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Communication Records, including but not limited to electronic communications. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Bank of America, N.A. (including branches in London and Hong Kong) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 100 North Tryon Street |
Street Address 2 | |
City | Charlotte |
State/Country |
NORTH CAROLINA
|
Zip + 4 Postal Code | 28255 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Merrill Lynch Global Services Pte. Ltd |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2 Harbourfront Place #02-01 |
Street Address 2 | |
City | Singapore |
State/Country |
SINGAPORE
|
Zip + 4 Postal Code | 098499 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BofA Securities Japan Co., Ltd. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Nihonbashi 1-chome |
Street Address 2 | Bldg 1-4-1 Nihonboshi |
City | Tokyo |
State/Country |
JAPAN
|
Zip + 4 Postal Code | 103-8230 |
| Effective Date MM DD YYYY | 11-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | 360 TREASURY SYSTEMS AG |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 529900P0204W9HA8JP36 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Gruneburgweg 16-18 |
Street Address 2 | |
City | Frankfurt am Main |
State/Country |
GERMANY
|
Zip + 4 Postal Code | 60322 |
| Effective Date MM DD YYYY | 02-01-2024 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | AQUIS EXCHANGE PLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800IXJSF5E1SIW150 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 77 Cornhill |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC3V 3QQ |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | AUREL BGC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5RJTDGZG4559ESIYLD31 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | BGC AUREL ETC POLLAK 15 17 |
Street Address 2 | |
City | PARIS |
State/Country |
FRANCE
|
Zip + 4 Postal Code | 75002 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BGC DERIVATIVE MARKETS, L.P. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300RKB6B4M8CD2W04 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | CORPORATION TRUST CENTER 1209 ORANGE ST |
Street Address 2 | CO THE CORPORATION TRUST COMPANY |
City | WILMINGTON |
State/Country |
DELAWARE
|
Zip + 4 Postal Code | 19801 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG SEF LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493003IUYOH354SNS58 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 731 LEXINGTON AVENUE |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10022 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADEBOOK CANADA COMPANY |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900N3K8DHWXXMF546 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | BROOKFIELD PLACE,TD CANADA TRUST TOWER 1 |
Street Address 2 | |
City | TORONTO |
State/Country |
CANADA (FEDERAL LEVEL)
|
Zip + 4 Postal Code | M5J 2S1 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADEBOOK LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300P0PVQNO43T7K36 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 731 LEXINGTON AVE |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10022 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADEBOOK SINGAPORE PTE LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900HSS82AHMTPAD95 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 23 Church Street |
Street Address 2 | |
City | SINGAPORE |
State/Country |
SINGAPORE
|
Zip + 4 Postal Code | 49481 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADING FACILITY B.V. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900QBKK4WBSO3GE51 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Stadhouderskade 14 |
Street Address 2 | |
City | Amsterdam |
State/Country |
NETHERLANDS
|
Zip + 4 Postal Code | 1054 ES |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG TRADING FACILITY LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300ROEJDDAXM6LU05 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 3 Queen Victoria Street |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4N 4TQ |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BOLSAS Y MERCADOS ESPANOLES RENTA FIJA SA. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 95980096HCV0D0TYCR12 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | PLAZA LEALTAD 1 |
Street Address 2 | |
City | MADRID |
State/Country |
SPAIN
|
Zip + 4 Postal Code | 28014 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BORSE BERLIN AG |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 391200I7OS301UELZA68 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Fasanenstr. 85 |
Street Address 2 | |
City | Berlin |
State/Country |
GERMANY
|
Zip + 4 Postal Code | 10623 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BROKERTEC EUROPE LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2138002GI1GKI3V4UG48 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | LONDON FRUIT AND WOOL EXCHANGE |
Street Address 2 | 1 DUVAL SQUARE |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | E1 6PW |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CBOE EUROPE LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900ERRPSKE7UZH711 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | The Monument Building |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC3R 8AF |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CBOE TRADING, INC. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 5th Floor, the Monument Building |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC3R8AF |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | DEUTSCHE BORSE AG |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 529900G3SW56SHYNPR95 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Mergenthalerallee 61 |
Street Address 2 | |
City | Eschborn |
State/Country |
GERMANY
|
Zip + 4 Postal Code | 65760 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | DIGITAL VEGA FX LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800GQ81SBZ7SCHZ94 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 9Th Floor |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2V 6DN |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EBS SERVICE COMPANY LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800Y1KZLBMHGMTJ05 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | LAVATERSTRASSE 40, 8002 |
Street Address 2 | |
City | ZURICH |
State/Country |
SWITZERLAND
|
Zip + 4 Postal Code | CH ZH CH |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EUROMTS LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800OANOWGT2KW8O63 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 7TH FLOOR, 110 CANNON STREET |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4N 6EU |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EURONEXT AMSTERDAM N.V. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 724500V6UOK62XEZ2L78 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Beursplein 5 |
Street Address 2 | |
City | Amsterdam |
State/Country |
NETHERLANDS
|
Zip + 4 Postal Code | 1012 JW |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EURONEXT BRUSSELS SA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493007YLUF2KAS0TM17 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Rue du Marquis 1, Internal Postal Box 1 |
Street Address 2 | |
City | Bruxelles |
State/Country |
BELGIUM
|
Zip + 4 Postal Code | 1000 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 04-30-2025 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EURONEXT LISBON - SOCIEDADE GESTORA DE MERCADOS REGULAMENTADOS, S.A. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 529900K0OK4J5I7A5V66 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | AVENIDA DA LIBERDADE, 196 7 |
Street Address 2 | |
City | LISBOA |
State/Country |
PORTUGAL
|
Zip + 4 Postal Code | 1250-147 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 04-30-2025 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EURONEXT PARIS SA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 969500HMVSZ0TCV65D58 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | PARIBOURSE SBF SOC BOURSES FRANCAISES |
Street Address 2 | |
City | COURBEVOIE |
State/Country |
FRANCE
|
Zip + 4 Postal Code | 92400 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | GLMX TECHNOLOGIES, LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 254900ASG2SHGJG66W93 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 330 7th Ave FL 17 |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 100015246 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HUDSON RIVER TRADING EUROPE LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800QDJQNB4546YV16 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2nd Floor, 12 Steward Street |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | E1 6FQ |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | INTERCONTINENTAL EXCHANGE, INC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493000F4ZO33MV32P92 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 5660 New Northside Dr 3 |
Street Address 2 | |
City | Atlanta |
State/Country |
FLORIDA
|
Zip + 4 Postal Code | 303285800 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 11-30-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ISWAP Euro B.V. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800ZGMHG92WXVFB36 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Vijzelstraat 68 Unit 109 |
Street Address 2 | |
City | Amsterdam |
State/Country |
NETHERLANDS
|
Zip + 4 Postal Code | 1017 HL |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | LMAX LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 21380034TU2TI8CNZ578 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Monsoon Building |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | W11 4AN |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | LONDON STOCK EXCHANGE PLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800D1EI4B9WTWWD28 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | The London Stock Exchange |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4M 7LS |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | MARKETAXESS NL B.V. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5299000UUYW66L5LT560 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Herengracht 280 |
Street Address 2 | |
City | Amsterdam |
State/Country |
NETHERLANDS
|
Zip + 4 Postal Code | 1016 BX |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | MARKETAXESS SINGAPORE PTE LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 529900GFVFMKAFCMT075 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 10 Collyer Quay |
Street Address 2 | |
City | SINGAPORE |
State/Country |
SINGAPORE
|
Zip + 4 Postal Code | 49315 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | MTS SPA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800ZMKPUV1VKLCT69 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | VIA TOMACELLI 146 |
Street Address 2 | |
City | Rome |
State/Country |
ITALY
|
Zip + 4 Postal Code | 00186 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | OTCX TRADING LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Albert Buildings |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4N 4SA |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | SIX SWISS EXCHANGE AG |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 529900HQ12A6FGDMWA17 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Hardturmstrasse 201 |
Street Address 2 | |
City | ZURICH |
State/Country |
SWITZERLAND
|
Zip + 4 Postal Code | 8005 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | THE LONDON METAL EXCHANGE |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800NB8G5VRT1DXC91 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 10 Finsbury Square |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2A 1AJ |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | THE TEL-AVIV STOCK EXCHANGE LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2 AhuzaBayit |
Street Address 2 | |
City | Tel Aviv - Jaffa |
State/Country |
ISRAEL
|
Zip + 4 Postal Code | 6525216 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TRADEWEB EUROPE LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2138001WXZQOPMPA3D50 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Fore Street Avenue |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2Y 9DT |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TW SEF LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493009DYKOCXWBRC524 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1177 Ave of The Americas |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 100362714 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TRADEWEB JAPAN KK |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | level 26, Kyobashi Edo grand |
Street Address 2 | 2-2-1, Kyobashi, Chuo-Ku |
City | Tokyo |
State/Country |
JAPAN
|
Zip + 4 Postal Code | 104-0031 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TRADEWEB MARKETS LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493000G5QHJUY9ZWQ91 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2200 PLAZA FIVE |
Street Address 2 | |
City | Jersey City |
State/Country |
NEW JERSEY
|
Zip + 4 Postal Code | 73114006 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TRADITION (UK) LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 506700XNPBE4M72EJU82 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Rue de Langallerie 11 |
Street Address 2 | Compagnie Financiere Tradition SA |
City | Lausanne |
State/Country |
SWITZERLAND
|
Zip + 4 Postal Code | 1003 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TRAYPORT LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800PICGAHUDMI1Z46 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 7Th Floor |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2A 2AP |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 08-31-2024 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TSAF OTC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 969500V058ZSY03FNX80 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 9 PL VENDOME |
Street Address 2 | |
City | PARIS |
State/Country |
FRANCE
|
Zip + 4 Postal Code | 75001 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TURQUOISE GLOBAL HOLDINGS EUROPE B.V. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800ZA8TWTNVG43376 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | NIEUWEZIJDS VOORBURGWAL 162, SUITE 108 |
Street Address 2 | |
City | Amsterdam |
State/Country |
NETHERLANDS
|
Zip + 4 Postal Code | 1012 SJ |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TURQUOISE GLOBAL HOLDINGS LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2138006SKBMJJUE2HV03 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | The London Stock Exchange |
Street Address 2 | |
City | LONDON |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4M 7LS |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | VIRTU EUROPE TRADING LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800EEC95PRUCEUP63 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Whitaker Court, Whitaker Square |
Street Address 2 | Sir John Rogerson's Quay |
City | Dublin |
State/Country |
IRELAND
|
Zip + 4 Postal Code | D02 W529 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | WEMATCH.LIVE R&D LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 894500EG497MGE7BSI77 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 121 Begin Menachem Rd |
Street Address 2 | |
City | Tel Aviv - Jaffa |
State/Country |
ISRAEL
|
Zip + 4 Postal Code | 6701203 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Tradeweb Australia PTY Ltd |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300QRJM24CLE17N18 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | L 6 14 MARTIN PLACE |
Street Address 2 | |
City | SYDNEY |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Execute or Trade |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | AO Citibank |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | CHSQDSVI1UI96Y2SW097 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 8-10, bld.1, Gasheka street |
Street Address 2 | |
City | Moscow |
State/Country |
RUSSIAN FEDERATION
|
Zip + 4 Postal Code | 125047 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | AO RAIFFEISENBANK |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2534006HF1L4YF10UD91 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 17, Troitskaya str., bld. 1 |
Street Address 2 | |
City | Moscow |
State/Country |
RUSSIAN FEDERATION
|
Zip + 4 Postal Code | 129090 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BANCO CITI MEXICO S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITI MEXICO |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2SFFM4FUIE05S37WFU55 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 800 Colonia |
Street Address 2 | Acturario Roberto Medellin. |
City | Santa Fe |
State/Country |
MEXICO
|
Zip + 4 Postal Code | D F 01219 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BANK POLSKA KASA OPIEKI SA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5493000LKS7B3UTF7H35 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Zwirki i Wigury 31 |
Street Address 2 | |
City | Warsaw |
State/Country |
POLAND
|
Zip + 4 Postal Code | 02-091 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BANQUE CENTRALE DE COMPENSATION (LCH SA) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R1IO4YJ0O79SMWVCHB58 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 18 RUE DU 4 SEPTEMBRE, FR-75 |
Street Address 2 | |
City | Paris |
State/Country |
FRANCE
|
Zip + 4 Postal Code | 75002 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP Paribas Australia Branch |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Level 4, 60 Castlereagh Street, NSW |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP Paribas S.A. Niederlassung Deutschland |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Senckenberganlage 19 |
Street Address 2 | |
City | Frankfurt am Main |
State/Country |
GERMANY
|
Zip + 4 Postal Code | 60325 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP Paribas S.A., Succursale Italia |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Piazza Lina Bo Bardi 3 |
Street Address 2 | |
City | Milano |
State/Country |
ITALY
|
Zip + 4 Postal Code | 20124 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP PARIBAS SA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Les Grands Moulin de Pantin |
Street Address 2 | 9 Rue du Debarcadere |
City | Pantin |
State/Country |
FRANCE
|
Zip + 4 Postal Code | 93500 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP PARIBAS SA SUCURSAL EN ESPANA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Calle de Emilio Vargas 4 |
Street Address 2 | |
City | Madrid |
State/Country |
SPAIN
|
Zip + 4 Postal Code | 28043 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BNP PARIBAS, Paris, Zurich Branch |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | R0MUWSFPU8MPRO8K5P83 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Selnaustrasse 16 |
Street Address 2 | Box, 8022 |
City | Zurich |
State/Country |
SWITZERLAND
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CASSA DI COMPENSAZIONE E GARANZIA SPA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 8156006407E264D2C725 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | VIA TOMACELLI, 146 |
Street Address 2 | |
City | Roma |
State/Country |
ITALY
|
Zip + 4 Postal Code | 186 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Cboe Clear Europe N.V. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 724500937F740MHCX307 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Strawinskylaan 1847, Tower I, Level 3 |
Street Address 2 | |
City | Amsterdam, NL |
State/Country |
NETHERLANDS
|
Zip + 4 Postal Code | 1077XX |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK ANONIM SIRKETI |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | CWZ8NZDH5SKY12Q4US31 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Tekfen Tower |
Street Address 2 | Eski Buyukdere Caddesi 209 Kat 2 |
City | Istanbul |
State/Country |
TURKEY
|
Zip + 4 Postal Code | 34394 Leve |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK BERHAD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Level 43, Securities Services |
Street Address 2 | Menara Citibank, 165 Jalan Ampang |
City | Kuala Lumpur |
State/Country |
MALAYSIA
|
Zip + 4 Postal Code | 50450 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK DEL PERU S.A. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | MYTK5NHHP1G8TVFGT193 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Canaval y Moreyra 480 |
Street Address 2 | Piso 3, San Isidro |
City | Lima 27 |
State/Country |
PERU
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK EUROPE PLC, GREECE BRANCH |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | N1FBEDJ5J41VKZLO2475 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 8 Othonos street |
Street Address 2 | |
City | Athens |
State/Country |
GREECE
|
Zip + 4 Postal Code | 10557 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK KAZAKHSTAN |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 95XXGORQK31JZP82OG22 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | YN. 3EHKOBA, AOM 26/41 |
Street Address 2 | |
City | Almaty |
State/Country |
KAZAKSTAN
|
Zip + 4 Postal Code | 050020 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK KOREA INC. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 745P3MMS7E8CUVXDRJ82 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 50, Saemunan-ro, Jongno-gu |
Street Address 2 | |
City | Seoul |
State/Country |
KOREA, REPUBLIC OF
|
Zip + 4 Postal Code | 03184 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK N.A. (MUMBAI BRANCH) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Citibank N.A. FIFC, C-54 & 55, G Block |
Street Address 2 | Bandra Kura Complex |
City | Bandra East |
State/Country |
INDIA
|
Zip + 4 Postal Code | 400051 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK N.A. EGYPT |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Level 3, 46, Al Salam Axis Street |
Street Address 2 | First Sector at the Fifth Settlement |
City | New Cairo |
State/Country |
EGYPT
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK N.A. ISRAEL BRANCH |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Ha arba a 21 |
Street Address 2 | |
City | Tel Aviv |
State/Country |
ISRAEL
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK N.A., PAKISTAN |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Army Welfare Trust (AWT) Plaza |
Street Address 2 | I.I.Chundrigar Road |
City | Karachi |
State/Country |
PAKISTAN
|
Zip + 4 Postal Code | 74200 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK NA (PHILIPPINES BRANCH) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 16th Floor, Citibank Plaza |
Street Address 2 | 34th St,, Bonifacio Global City |
City | Taguig City, Metro Manila |
State/Country |
PHILIPPINES
|
Zip + 4 Postal Code | 1634 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK SINGAPORE LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300BSM2K5JOIUQ068 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 8 Marina View |
Street Address 2 | #16-00 Asia Square Tower 1 |
City | Singapore |
State/Country |
SINGAPORE
|
Zip + 4 Postal Code | 018960 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK, N.A. (BANGKOK BRANCH) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 18th Fl, 399 Intg 21 Bldg, Sukhumvit Rd |
Street Address 2 | Klongtoey Nua, Wattana District |
City | Bangkok |
State/Country |
THAILAND
|
Zip + 4 Postal Code | 10110 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK, N.A. (HONG KONG BRANCH) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 35/F, Citigroup Tower |
Street Address 2 | No.33 Hua Yuan Shi Qiao Road |
City | Shanghai |
State/Country |
CHINA
|
Zip + 4 Postal Code | 200120 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK, N.A. (HONG KONG BRANCH) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 50/F Citibank Tower, Citibank Plaza |
Street Address 2 | 3 Garden Road, Central |
City | Hong Kong |
State/Country |
HONG KONG
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Citibank, N.A. Brazilian Branch |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | E57ODZWZ7FF32TWEFA76 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Av. Paulista 1.111, 12 andar |
Street Address 2 | |
City | Sao Paulo SP |
State/Country |
BRAZIL
|
Zip + 4 Postal Code | 01311-920 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIBANK, N.A. NEW YORK OFFICES - CHILE |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 8B4EZFY8IHJC44TT2K84 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Estado 260, Level 2 |
Street Address 2 | |
City | Santiago |
State/Country |
CHILE
|
Zip + 4 Postal Code | 8320204 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITIGROUP PTY LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 0C45RG70GW42XSBLJ131 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Level 16, 120 Collins Street |
Street Address 2 | |
City | Melbourne |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | VIC 3000 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CITITRUST COLOMBIA S A SOCIEDAD FIDUCIARIA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300242J3IJCOSGI49 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Carrera 9A, No. 99-02 |
Street Address 2 | |
City | Bogota |
State/Country |
COLOMBIA
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CLEARSTREAM BANKING AG |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300298FD7AS4PPU70 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Mergenthalerallee 61 |
Street Address 2 | |
City | Eschborn |
State/Country |
GERMANY
|
Zip + 4 Postal Code | 65760 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CLEARSTREAM BANKING S.A. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300OL514RA0SXJJ44 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 11 Westferry Circus, Canary Wharf |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | E14 4HE |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EUREX CLEARING AG |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 529900LN3S50JPU47S06 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Mergenthalerallee 61 |
Street Address 2 | |
City | Eschborn, DE-HE |
State/Country |
GERMANY
|
Zip + 4 Postal Code | 65760 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EUROCLEAR BANK SA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300OZ46BRLZ8Y6F65 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Boulevard du Roi Albert II, B 1210 |
Street Address 2 | |
City | Brussels |
State/Country |
BELGIUM
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EUROCLEAR FRANCE |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 54930060MY6S68NEUP16 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 66 rue de la Victoire |
Street Address 2 | |
City | Paris |
State/Country |
FRANCE
|
Zip + 4 Postal Code | 75009 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EUROCLEAR UK & INTERNATIONAL LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300M5MYAD51WHJD55 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 33 Cannon Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4M 5SB |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC BANK (CHINA) COMPANY LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 300300C1050131000118 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 33rd Floor, HSBC Building, Shanghai ifc |
Street Address 2 | 8 Century Avenue, Pudong |
City | Shanghai |
State/Country |
CHILE
|
Zip + 4 Postal Code | 200120 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC BANK (TAIWAN) LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300SG184IVNYDMN03 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 13F, No. 333 Keelung Road, Sec. 1 |
Street Address 2 | Xinyi District |
City | Taipei |
State/Country |
TAIWAN, PROVINCE OF CHINA
|
Zip + 4 Postal Code | 110 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC BANK (VIETNAM) LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 213800H95OG9OHRT4Y78 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | The Metropolitan, Floor 2 |
Street Address 2 | 235 Dong Khoi Street, District 1 |
City | Ho Chi Minh |
State/Country |
VIET NAM
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC BANK MIDDLE EAST LIMITED, KUWAIT BRANCH |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300F99IL9YJDWH369 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Qibla Area, Hamad Al-Saqr St. |
Street Address 2 | Kharafi Tower, G/1/2 Floors, Box 1683 |
City | Safat |
State/Country |
KUWAIT
|
Zip + 4 Postal Code | 13017 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC BANK MIDDLE EAST LIMITED, QATAR BRANCH |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300F99IL9YJDWH369 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2nd Fl, Ali Bin Ali Twr Bldg # 150 |
Street Address 2 | Al Matar St, Box 57. Street no. 950 |
City | Doha |
State/Country |
QATAR
|
Zip + 4 Postal Code | none |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | HSBC SAUDI ARABIA |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 2138009S6SHV5GLS7987 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 2nd Floor, 7267 Olaya, Al Murooj |
Street Address 2 | |
City | Riyadh |
State/Country |
SAUDI ARABIA
|
Zip + 4 Postal Code | 12283-2255 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICE CLEAR CREDIT LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | T33OE4AS4QXXS2TT7X50 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 353 North Clark Street |
Street Address 2 | |
City | Chicago |
State/Country |
ILLINOIS
|
Zip + 4 Postal Code | 60654 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICE CLEAR EUROPE LTD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5R6J7JCQRIPQR1EEP713 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | MILTON GATE, 60 CHISWELL STREET |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC1Y 4SA |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Islandsbanki HF. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300PZMFIQR79Q0T97 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Hagasmara 3, 201 |
Street Address 2 | |
City | Kopavogur |
State/Country |
ICELAND
|
Zip + 4 Postal Code | IS-1 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ITAU DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS S.A. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | BZO2P8KHO2O10H5QQ663 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Avenida Brigadeiro Faria Lima |
Street Address 2 | 3500, 3 Andar Parte |
City | Sao Paulo |
State/Country |
BRAZIL
|
Zip + 4 Postal Code | 0453-8132 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 06-23-2025 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ITAU UNIBANCO S/A. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300C1N8WOCC1VR551 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Alfredo Egydio de Souza Aranha 100 |
Street Address 2 | |
City | Sao Paulo |
State/Country |
BRAZIL
|
Zip + 4 Postal Code | 0434-4902 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | JOINT STOCK COMPANY CITIBANK |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 549300E0ROTI7ACBZH02 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Bud.16-g, Dilova Str |
Street Address 2 | |
City | Kyiv |
State/Country |
UKRAINE
|
Zip + 4 Postal Code | 03150 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | KBC Bank Bulgaria EAD |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | 5299009KAL4KO7584196 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Nikola Vaptsarov Blvd., Expo 2000 |
Street Address 2 | Phase III, 4 floor |
City | Sofia |
State/Country |
BULGARIA
|
Zip + 4 Postal Code | 1407 |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | 04-30-2025 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | LCH LIMITED |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | F226TOH6YD6XJB17KS62 |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Aldgate House, 33 Aldgate High Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC3N 1EA |
| Effective Date MM DD YYYY | 10-26-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BofAML EMEA Holdings 2 Limited |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | IFC1, The Esplanade |
Street Address 2 | |
City | St. Helier |
State/Country |
JERSEY
|
Zip + 4 Postal Code | JE2 3BX |
| Effective Date MM DD YYYY | 11-01-2023 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Effective November 1st, 2023, Merrill Lynch International is owned by: (1) BofAML EMEA Holdings 2 Limited, (which owns 80.1%); and (2) BofAML Jersey Holdings Limited, (which owns 19.9%), and which also is the immediate parent that wholly-owns BofAML EMEA Holdings 2 Limited above. BofAML Jersey Holdings Limited is wholly-owned by NB Holdings Corporation, which in turn is wholly owned by Bank of America Corporation |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BofAML Jersey Holdings Limited |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | IFC1, The Esplanade |
Street Address 2 | |
City | St. Helier |
State/Country |
JERSEY
|
Zip + 4 Postal Code | JE2 3BX |
| Effective Date MM DD YYYY | 11-01-2023 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Effective November 1st, 2023, Merrill Lynch International is owned by: (1) BofAML EMEA Holdings 2 Limited, (which owns 80.1%); and (2) BofAML Jersey Holdings Limited, (which owns 19.9%), and which also is the immediate parent that wholly-owns BofAML EMEA Holdings 2 Limited above. BofAML Jersey Holdings Limited is wholly-owned by NB Holdings Corporation, which in turn is whollyowned by Bank of America Corporation |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | NB Holdings Corporation |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 100 North Tryon Street |
Street Address 2 | |
City | Charlotte |
State/Country |
NORTH CAROLINA
|
Zip + 4 Postal Code | 28255 |
| Effective Date MM DD YYYY | 11-01-2023 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Effective November 1st, 2023, Merrill Lynch International is owned by: (1) BofAML EMEA Holdings 2 Limited, (which owns 80.1%); and (2) BofAML Jersey Holdings Limited, (which owns 19.9%), and which also is the immediate parent that wholly-owns BofAML EMEA Holdings 2 Limited above. BofAML Jersey Holdings Limited is wholly-owned by NB Holdings Corporation, which in turn is whollyowned by Bank of America Corporation |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Bank of America Corporation |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 100 North Tryon Street |
Street Address 2 | |
City | Charlotte |
State/Country |
NORTH CAROLINA
|
Zip + 4 Postal Code | 28255 |
| Effective Date MM DD YYYY | 11-01-2023 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Effective November 1st, 2023, Merrill Lynch International is owned by: (1) BofAML EMEA Holdings 2 Limited, (which owns 80.1%); and (2) BofAML Jersey Holdings Limited, (which owns 19.9%), and which also is the immediate parent that wholly-owns BofAML EMEA Holdings 2 Limited above. BofAML Jersey Holdings Limited is wholly-owned by NB Holdings Corporation, which in turn is whollyowned by Bank of America Corporation |
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
MERRILL LYNCH INTERNATIONAL
Date:
Applicant NFA No.:
289121
Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify
its United States agent for service of process and the certify that it can as a matter of law, and will -
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.
| Name | BofA Securities, Inc. |
| Street Address 1 | 1540 Broadway |
| Street Address 2 | NY8-540-26-05 |
| City | New York |
| State |
NEW YORK
|
| Zip/Postal Code | 10036 |
The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in
(a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the
applicant may have information; and
(b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as
defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of
any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and
agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that
service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that
service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal
service thereof had been made.
Applicant can as a matter of law, and will;
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.
Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with
paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR
240. 15Fb2-4].
| Signature: | /s/ Ben McNeile |
| Name: | Ben McNeile |
| Title: | COO |
| Date: | 10-20-2023 |
Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:
| English Name of Foreign Financial Regulatory Authority | Prudential Regulation Authority |
| Foreign Registration No. (if any) | |
| English Name of Country: |
UNITED KINGDOM
|
| English Name of Foreign Financial Regulatory Authority | Dubai Financial Services Authority |
| Foreign Registration No. (if any) | (DFSA Reg No) F000216 |
| English Name of Country: |
UNITED ARAB EMIRATES
|
| English Name of Foreign Financial Regulatory Authority | Qatar Financial Center |
| Foreign Registration No. (if any) | QFC - 258 |
| English Name of Country: |
QATAR
|
| English Name of Foreign Financial Regulatory Authority | Swiss Financial Market Supervisory Authority (FINMA) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
SWITZERLAND
|
| English Name of Foreign Financial Regulatory Authority | Australian Securities and Investments Commission |
| Foreign Registration No. (if any) | |
| English Name of Country: |
AUSTRALIA
|
| English Name of Foreign Financial Regulatory Authority | Financial Conduct Authority |
| Foreign Registration No. (if any) | 2312079 |
| English Name of Country: |
UNITED KINGDOM
|
If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.