| Filer CIK | 0001257135 |
| 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: 240934 |
|
| A. Full name of the applicant | MACQUARIE BANK LTD |
| B. IRS Empl. Ident. No.: | 98-0163788 |
| C. Applicant's NFA ID #: | 240934 |
Applicant's CIK #: | 0001257135 |
Applicant’s UIC # (if any): | 4ZHCHI4KYZG2WVRT8631 |
| D. Applicant's Main Address: (Do not use a P.O. Box) | |
Street Address 1: | 1 ELIZABETH STREET |
Street Address 2: | |
City: | SYDNEY, NEW SOUTH WALES |
State/Province/Country: |
AUSTRALIA
|
Zip/ Postal Code: | 2000 |
| E. Mailing Address, if different: | |
Street Address 1: | 1 ELIZABETH STREET |
Street Address 2: | |
City: | SYDNEY, NEW SOUTH WALES |
State/Province/Country: |
AUSTRALIA
|
Zip/ Postal Code: | 2000 |
| F. Business Telephone Number: | 212-231-1000 |
| G. Website/URL: | www.macquarie.com |
| H. Contact Employee: | |
Prefix: | |
First Name: | Jeremy |
Middle Name: | |
Last Name: | Chaplin |
Suffix: | |
Title: | Senior Manager |
Phone: | 904-571-5952 |
Email Address: | jeremy.chaplin@macquarie.com |
| I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k): | |
Prefix: | |
First Name: | Stephen |
Middle Name: | |
Last Name: | Byron |
Suffix: | |
Title: | Division Director/Chief Compliance Officer |
Phone: | 212-231-1340 |
Email Address: | Stephen.Byron@macquarie.com |
| Date | 05-27-2025 |
| Name of Applicant | MACQUARIE BANK LTD |
| By: Signature | Stephen Byron |
| Name of Person Signing on Applicant's behalf | Stephen Byron |
| Title of Person Signing on Applicant's behalf | Division Director/Chief Compliance Officer |
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:
MACQUARIE BANK LTD
Date:
Applicant NFA No.:
240934
| 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? |
| 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: | The principal activity of MBL and its subsidiaries is to act as a financial services provider offering a full range of commercial banking and retail financial services in Australia and selected financial services offshore. MBL is regulated by the Australian Prudential Regulation Authority (APRA) as an Authorized Deposit-taking Institution (ADI). MBL provides a variety of trading, risk management, sales, structuring, financing, market analysis and strategy services across the globe with an underlying specialization in interest rate, commodity or foreign exchange-related institutional trading, marketing, lending, clearing and platform provision. |
| Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. | Yes
No
|
If "yes," identify the prudential regulator: | The Federal Reserve Board The Office of the Comptroller of the Currency The Federal Deposit Insurance Corporation The Farm Credit Administration The Federal Housing Finance Agency
|
| 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:
MACQUARIE BANK LTD
Date:
Applicant NFA No.:
240934
| 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. | 16 |
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:
MACQUARIE BANK LTD
Date:
Applicant NFA No.:
240934
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 | Broadbent |
| Individuals: First Name | Jillian |
| Individuals: Middle Name | R |
| Suffix | |
| Title or Status | INDEPENDENT VOTING DIRECTOR |
| Date Title or Status Acquired(MM/YYYY) | 11/2018 |
| Date Individual began working for applicant (MM/YYYY) | 11/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 518914 |
| 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 | Coffey |
| Individuals: First Name | Philip |
| Individuals: Middle Name | M |
| Suffix | |
| Title or Status | INDEPENDENT VOTING DIRECTOR |
| Date Title or Status Acquired(MM/YYYY) | 08/2018 |
| Date Individual began working for applicant (MM/YYYY) | 08/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 451249 |
| 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 | Harvey |
| Individuals: First Name | Alexander |
| Individuals: Middle Name | H |
| Suffix | |
| Title or Status | Chief Financial Officer |
| Date Title or Status Acquired(MM/YYYY) | 11/2017 |
| Date Individual began working for applicant (MM/YYYY) | 08/1998 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 511120 |
| 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 | McGrath |
| Individuals: First Name | Rebecca |
| Individuals: Middle Name | J |
| Suffix | |
| Title or Status | INDEPENDENT VOTING DIRECTOR |
| Date Title or Status Acquired(MM/YYYY) | 01/2021 |
| Date Individual began working for applicant (MM/YYYY) | 01/2021 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 536543 |
| 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 | Roche |
| Individuals: First Name | Michael |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | INDEPENDENT VOTING DIRECTOR |
| Date Title or Status Acquired(MM/YYYY) | 01/2021 |
| Date Individual began working for applicant (MM/YYYY) | 01/2021 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 536581 |
| 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 | Sorbara |
| Individuals: First Name | Nicole |
| Individuals: Middle Name | G |
| Suffix | |
| Title or Status | Chief Operating Officer |
| Date Title or Status Acquired(MM/YYYY) | 01/2013 |
| Date Individual began working for applicant (MM/YYYY) | 12/1996 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 511090 |
| 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 | Stevens |
| Individuals: First Name | Glenn |
| Individuals: Middle Name | R |
| Suffix | |
| Title or Status | INDEPENDENT VOTING DIRECTOR |
| Date Title or Status Acquired(MM/YYYY) | 11/2017 |
| Date Individual began working for applicant (MM/YYYY) | 11/2017 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 510224 |
| 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 | Wikramanayake |
| Individuals: First Name | Shemara |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | CHIEF EXECUTIVE OFFICER OF MACQUARIE GROUP LIMITED |
| Date Title or Status Acquired(MM/YYYY) | 08/2018 |
| Date Individual began working for applicant (MM/YYYY) | 05/1987 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 460609 |
| 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 | Wright |
| Individuals: First Name | Simon |
| Individuals: Middle Name | L |
| Suffix | |
| Title or Status | Head of a Business Unit, Division or Function |
| Date Title or Status Acquired(MM/YYYY) | 10/1997 |
| Date Individual began working for applicant (MM/YYYY) | 07/1989 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 456278 |
| 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 | Green |
| Individuals: First Name | Stuart |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | CHIEF EXECUTIVE OFFICER OF MACQUARIE BANK LIMITED |
| Date Title or Status Acquired(MM/YYYY) | 07/2021 |
| Date Individual began working for applicant (MM/YYYY) | 08/2001 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 541286 |
| 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 | Hinchliffe |
| Individuals: First Name | Michelle |
| Individuals: Middle Name | A |
| Suffix | |
| Title or Status | INDEPENDENT VOTING DIRECTOR |
| Date Title or Status Acquired(MM/YYYY) | 03/2022 |
| Date Individual began working for applicant (MM/YYYY) | 03/2022 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 547381 |
| 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 | Saines |
| Individuals: First Name | Ian |
| Individuals: Middle Name | M |
| Suffix | |
| Title or Status | INDEPENDENT VOTING DIRECTOR |
| Date Title or Status Acquired(MM/YYYY) | 06/2022 |
| Date Individual began working for applicant (MM/YYYY) | 06/2022 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 549404 |
| 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 | Lloyd-Hurwitz |
| Individuals: First Name | Susan |
| Individuals: Middle Name | J |
| Suffix | |
| Title or Status | INDEPENDENT VOTING DIRECTOR |
| Date Title or Status Acquired(MM/YYYY) | 07/2023 |
| Date Individual began working for applicant (MM/YYYY) | 07/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 557810 |
| 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 | Whiteing |
| Individuals: First Name | David |
| Individuals: Middle Name | JK |
| Suffix | |
| Title or Status | INDEPENDENT VOTING DIRECTOR |
| Date Title or Status Acquired(MM/YYYY) | 09/2023 |
| Date Individual began working for applicant (MM/YYYY) | 09/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 559152 |
| 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 | Byres |
| Individuals: First Name | Wayne |
| Individuals: Middle Name | S |
| Suffix | |
| Title or Status | INDEPENDENT VOTING DIRECTOR |
| Date Title or Status Acquired(MM/YYYY) | 02/2024 |
| Date Individual began working for applicant (MM/YYYY) | 02/2024 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 561683 |
| 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 | Byron |
| Individuals: First Name | Stephen |
| Individuals: Middle Name | M |
| Suffix | |
| Title or Status | CHIEF COMPLIANCE OFFICER |
| Date Title or Status Acquired(MM/YYYY) | 11/2024 |
| Date Individual began working for applicant (MM/YYYY) | 11/2015 |
| Does person have an ownership interest in the applicant | Yes
No
|
| NFA Identification No. | 441968 |
| CRD No. | 005697349 |
| 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:
MACQUARIE BANK LTD
Date:
Applicant NFA No.:
240934
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: | Macquarie Bank Limited provides financial services through its Banking and Financial Services (BFS) and Commodities and Global Markets (CGM) business groups. BFS serves the Australian market and provides retail banking, wealth management, and a full range of deposit, lending, and payment solutions. CGM provides clients with an integrated, end to end offering across global markets including equities, fixed income, foreign exchange, commodities and technology, media, and telecoms. |
| (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 | Microsoft 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 | NE 36th Street |
Street Address 2 | |
City | Seattle |
State/Country |
WASHINGTON
|
Zip + 4 Postal Code | 98105 |
| Effective Date MM DD YYYY | 04-01-2021 |
| 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). | Cloud and server environment |
| (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 | PageUp |
| 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 | 91 William St |
Street Address 2 | |
City | Melbourne |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 3000 |
| Effective Date MM DD YYYY | 01-01-2021 |
| Termination Date MM DD YYYY | 10-04-2023 |
| 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). | Storage of Employment Applications |
| (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 | British Telecommunications 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) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Braham Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | E1 8EE |
| Effective Date MM DD YYYY | 08-31-2023 |
| 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). | Storage of Voice Recording 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 | MyComplianceOffice |
| 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 | 2C Avonbeg, Long Mile Road |
Street Address 2 | |
City | Dublin |
State/Country |
IRELAND
|
Zip + 4 Postal Code | E1 8EE |
| Effective Date MM DD YYYY | 03-04-2024 |
| 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). | Storage of regulatory 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 | Shield Financial Compliance 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 | 6 Ha-meitar St |
Street Address 2 | Ramat Gan |
City | Tel Aviv-Yafo |
State/Country |
ISRAEL
|
Zip + 4 Postal Code | 5252800 |
| Effective Date MM DD YYYY | 02-22-2024 |
| 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). | Maintains books and 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 | Google LLC (GCVE) |
| 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 | 48 Pirrama Road |
Street Address 2 | |
City | Sydney, Pyrmont NSW |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2009 |
| Effective Date MM DD YYYY | 03-19-2024 |
| 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). | Maintains books and 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 | Cornerstone OnDemand 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 | 1601 Cloverfield Blvd |
Street Address 2 | Suite 600 South |
City | Santa Monica |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 90404 |
| Effective Date MM DD YYYY | 03-08-2024 |
| 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). | Maintains books and 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 | J.P. MORGAN SECURITIES 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 | 383 MADISON AVENUE |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10179 |
| Effective Date MM DD YYYY | 12-13-2012 |
| 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). | clearing agent |
| (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 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) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Koning Albert ll-laan 1 |
Street Address 2 | B-1210 Sint-Joost-ten-Node |
City | Belgium |
State/Country |
BELGIUM
|
Zip + 4 Postal Code | 1210 |
| Effective Date MM DD YYYY | 02-01-2020 |
| 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). | custodian |
| (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 | JPMorgan Bank Luxembourg 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) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 6, Route de Treves |
Street Address 2 | L-2633 Senningerberg |
City | Grand Duchy of Luxembourg |
State/Country |
LUXEMBOURG
|
Zip + 4 Postal Code | 2633 |
| Effective Date MM DD YYYY | 11-12-2018 |
| 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). | custodian |
| (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 | JPMorgan Chase NA |
| 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 | 383 Madison Avenue |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10179 |
| Effective Date MM DD YYYY | 12-22-2020 |
| 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). | custodian |
| (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/NV |
| 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 | 1 Boulevard du Roi Albert II |
Street Address 2 | |
City | Brussels |
State/Country |
BELGIUM
|
Zip + 4 Postal Code | 1210 |
| Effective Date MM DD YYYY | 03-21-2003 |
| 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). | custodian |
| (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 BROKERS LP |
| 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 | ONE CHURCHILL PLACE |
Street Address 2 | Canary Wharf |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | E14 5RD |
| Effective Date MM DD YYYY | 05-26-2017 |
| 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). | Inter-dealer execution broker |
| (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 | ICAP Equities Asia 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 | Unit 2902-2909 |
Street Address 2 | 99 Queens Road Central |
City | Central |
State/Country |
HONG KONG
|
Zip + 4 Postal Code | HKG |
| Effective Date MM DD YYYY | 03-27-2015 |
| 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). | Inter-dealer execution broker |
| (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 | TP ICAP MARKETS 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 | 155 Bishopsgate |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | E2M 3TQ |
| Effective Date MM DD YYYY | 01-11-2021 |
| 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). | Inter-dealer execution broker |
| (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 | KEPLER CAPITAL MARKETS 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) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Route de Crassier 11 |
Street Address 2 | |
City | Eysin |
State/Country |
SWITZERLAND
|
Zip + 4 Postal Code | 1262 |
| Effective Date MM DD YYYY | 02-01-2015 |
| 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). | Inter-dealer execution broker |
| (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 | KYTE BROKING 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 | 52 Upper Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | N1 0QH |
| Effective Date MM DD YYYY | 11-02-2011 |
| 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). | Inter-dealer execution broker |
| (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 | LOUIS CAPITAL MARKETS UK LLP |
| 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 | 130 Wood Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2V 6DL |
| Effective Date MM DD YYYY | 04-15-2014 |
| 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). | Inter-dealer execution broker |
| (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 | MARIANA CAPITAL MARKETS LLP |
| 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 Cannon Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4N 6EU |
| Effective Date MM DD YYYY | 05-05-2014 |
| 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). | Inter-dealer execution broker |
| (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 | MARIANA UFP LLP |
| 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 Cannon Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4N 6EU |
| Effective Date MM DD YYYY | 01-11-2018 |
| 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). | Inter-dealer execution broker |
| (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 | SQUARE GLOBAL MARKETS LLP |
| 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 | 175 Piccadilly |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | W1J 9EN |
| Effective Date MM DD YYYY | 11-20-2014 |
| 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). | Inter-dealer execution broker |
| (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 | SUNRISE BROKERS LLP |
| 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 | 20 Triton Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | NW1 3BF |
| Effective Date MM DD YYYY | 09-01-2018 |
| 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). | Inter-dealer execution broker |
| (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 | TFS Derivatives 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 | 15 St Botolph Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC3A 7QX |
| Effective Date MM DD YYYY | 09-24-2007 |
| 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). | Inter-dealer execution broker |
| (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 | Tullett Prebon (securities) 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 | 135 Bishopgate |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2M 3TP |
| Effective Date MM DD YYYY | 03-24-2009 |
| 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). | Inter-dealer execution broker |
| (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 | VANTAGE CAPITAL MARKETS HK |
| 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 Queen's Road Central |
Street Address 2 | |
City | Central |
State/Country |
HONG KONG
|
Zip + 4 Postal Code | HKG |
| Effective Date MM DD YYYY | 01-07-2009 |
| 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). | Inter-dealer execution broker |
| (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 | Vantage Capital Markets London |
| 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 | 70 St Mary Axe |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC3A 8BE |
| Effective Date MM DD YYYY | 09-17-2018 |
| 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). | Inter-dealer execution broker |
| (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 | OTCEX HONG KONG 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 | Unit 1-3 |
Street Address 2 | 248 Queen's Road East |
City | Wan Chai |
State/Country |
HONG KONG
|
Zip + 4 Postal Code | HKG |
| Effective Date MM DD YYYY | 01-27-2014 |
| 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). | Inter-dealer execution broker |
| (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 | HPC 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) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 22 rue des Capucines |
Street Address 2 | |
City | Paris |
State/Country |
FRANCE
|
Zip + 4 Postal Code | 75002 |
| Effective Date MM DD YYYY | 11-26-2021 |
| 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). | Inter-dealer execution broker |
| (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 | Helix Securities LLP |
| 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 | 22 MANCHESTER SQUARE |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | W1U 3PT |
| Effective Date MM DD YYYY | 12-09-2022 |
| 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). | Inter-dealer execution broker |
| (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 | WallachBeth Capital 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 | 185 HUDSON STREET |
Street Address 2 | SUITE 1410 |
City | Jersey City |
State/Country |
NEW JERSEY
|
Zip + 4 Postal Code | 07311 |
| Effective Date MM DD YYYY | 04-23-2024 |
| 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). | Inter-dealer execution broker |
| (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 | Macquarie Group 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 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 11-13-2007 |
| 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). | Macquarie Group Limited owns 100% of Macquarie B.H. Pty Limited, which owns 100% of Macquarie Bank Limited. |
| (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 | Macquarie B.H. 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) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 11-19-2007 |
| 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). | Macquarie Group Limited owns 100% of Macquarie B.H. Pty Limited, which owns 100% of Macquarie Bank Limited. |
| (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.
| Individual Name | |
Prefix | |
First Name | Alexander |
Middle Name | H. |
Last Name | Harvey |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0511120 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 01-01-2018 |
| 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). | Chief Financial Officer of Macquarie Bank Limited |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Alex Harvey joined Macquarie in August 1998. He currently is the Chief Financial Officer of Macquarie Group and also the Executive Chairman of Macquarie Group in Asia. Before being appointed CFO in November 2017, Alex was the Global Head of the Principal Transaction Group in Macquarie Capital and a member of Macquarie Capitals Management Committee. Alex was the first Chief Executive Officer of Macquarie operations in Asia where he was responsible for a business with more than 3,400 staff across 14 locations. Alex has more than 20 years experience in the financial services industry across Australia, Asia, Europe and the United States. In August 2015, Alex was appointed Chairman of the Police Citizens Youth Clubs NSW Board. Alex is also a Board member of High Resolves. Alex holds a Master of Commerce, Bachelor of Economics from Sydney University and is a member of the Institute of Chartered Accountants |
| (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.
| Individual Name | |
Prefix | |
First Name | Shemara |
Middle Name | |
Last Name | Wikramanayake |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0511120 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 08-28-2018 |
| 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). | Executive voting Director of Macquarie Bank Limited and Chief Executive Officer of Macquarie Group |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Shemara Wikramanayake has been Macquarie Group's Managing Director and CEO since late 2018. Shemara joined Macquarie in 1987 in Macquarie Capital in Sydney. Shemara has worked in six countries and across several business lines, establishing and leading Macquarie's corporate advisory offices in New Zealand, Hong Kong and Malaysia, and the infrastructure funds management business in the US and Canada. Shemara has also served as Chair of the Macquarie Group Foundation. As Head of Macquarie Asset Management for 10 years before her appointment as CEO, Shemara led a team of 1,600 staff in 24 markets. Macquarie Asset Management grew to become a world-leading manager of infrastructure and real assets and a top 50 global public securities manager. Before joining Macquarie, Shemara worked as a corporate lawyer at Blake Dawson Waldron in Sydney. She holds Bachelor of Commerce and Bachelor of Laws degrees from UNSW and completed the Advanced Management Program at Harvard Business School in 1996. |
| (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.
| Individual Name | |
Prefix | |
First Name | Jillian |
Middle Name | R. |
Last Name | Broadbent |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0051891 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 11-05-2018 |
| 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). | INDEPENDENT VOTING DIRECTOR |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Jillian Broadbent has extensive investment banking industry knowledge and markets expertise, including a deep knowledge of risk management and regulation in these areas. She also has considerable executive management and listed company board experience. Ms Broadbent spent 22 years at Bankers Trust Australia until 1998, initially as an economic strategist and then as executive director responsible for risk management and derivatives in foreign exchange, interest rates and commodities. Ms Broadbent was also a Member of the Reserve Bank of Australia Board between 1998 and 2013 and has previously served as Chair of the Board of Clean Energy Finance Corporation (CEFC), and as a director of ASX Limited, SBS, Coca Cola Amatil Limited, Woodside Petroleum Limited, Qantas Airways Limited, Westfield Management Limited, Woolworths Group Limited and the National Portrait Gallery of Australia. |
| (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.
| Individual Name | |
Prefix | |
First Name | Philip |
Middle Name | M. |
Last Name | Coffey |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0451249 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 08-28-2018 |
| 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). | INDEPENDENT VOTING DIRECTOR |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Phil Coffey served as the Deputy Chief Executive Officer (CEO) of Westpac Banking Corporation, from April 2014 until his retirement in May 2017. As the Deputy CEO, Mr Coffey had the responsibility for overseeing and supporting relationships with key stakeholders of Westpac including industry groups, regulators, customers and government. He was also responsible for the Group's Mergers & Acquisitions function. Prior to this, Mr Coffey held a number of executive positions at Westpac including Chief Financial Officer and Group Executive, Westpac Institutional Bank. He has successfully led operations based in Australia, New Zealand, the United States, the United Kingdom and Asia and has extensive experience in financial markets, funds management, balance sheet management and risk management. He began his career at the Reserve Bank of Australia and has also held executive positions at AIDC Limited and Citigroup. Mr Coffey previously served as a director of Clean Energy Finance 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.
| Individual Name | |
Prefix | |
First Name | Rebecca |
Middle Name | J. |
Last Name | McGrath |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0536543 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 01-20-2021 |
| 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). | INDEPENDENT VOTING DIRECTOR |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Rebecca McGrath is an experienced professional company director and Chair, with substantial international business experience. She spent 25 years at BP plc where she held various executive positions, including Chief Financial Officer Australasia and served as a member of BP's Executive Management Board for Australia and New Zealand. Ms McGrath has served as a director of Goodman Group, CSR Limited, Big Sky Credit Union and Incitec Pivot Ltd, and as Chair of Oz Minerals Limited, Scania Australia Pty Limited and Kilfinan Australia. She is a former member of the JP Morgan Advisory Council. She has attended executive management programmes at Harvard Business School, Cambridge University and MIT in Boston. |
| (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.
| Individual Name | |
Prefix | |
First Name | Michael |
Middle Name | |
Last Name | Roche |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0536581 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 01-20-2021 |
| 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). | INDEPENDENT VOTING DIRECTOR |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Mike Roche has over 40 years' experience in the finance sector as a highly skilled and experienced provider of strategic, financial, mergers and acquisitions, and capital advice to major corporate, private equity and government clients. He held senior positions with AXA Australia as a qualified actuary and Capel Court/ANZ Capel Court. Mr Roche spent from January 1993 to January 2016 at Deutsche Bank and was Head of Mergers and Acquisitions (Australia and New Zealand) for 10 years where he advised on major takeovers, acquisitions, privatisations, and divestments. He stepped down as Deutche Banks's Chairman of Mergers and Acquisitions (Australia and New Zealand) in 2016. He was a member of the Takovers Panel for two terms from 2008 to 2014. |
| (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.
| Individual Name | |
Prefix | |
First Name | Nicole |
Middle Name | G. |
Last Name | Sorbara |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0511090 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 01-01-2013 |
| 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). | Global Chief Operating Officer of Macquarie Bank Limited |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Nicole Sorbara is a Chartered Accountant and has more than 25 years' experience in accounting and financial services. Nicole is Group Head of Corporate Operations Group (COG) and Global Chief Operating Officer (COO) and has been on the Macquarie Group Executive Committee since 1 January 2013. She leads a global team of 4,000 people across 22 countries covering Digital Transformation & Data, Technology, Market Operations, Human Resources, Business Services, Business Improvement & Strategy, and Macquarie Group Foundation |
| (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.
| Individual Name | |
Prefix | |
First Name | Glenn |
Middle Name | R. |
Last Name | Stevens |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0510224 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 11-01-2017 |
| 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). | INDEPENDENT VOTING DIRECTOR |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Glenn Stevens worked at the highest levels of the Reserve Bank of Australia (RBA) for 20 years and, as well as developing Australias successful inflation targeting framework for monetary policy, played a significant role in central banking internationally. Most recently, he was Governor of the Reserve Bank of Australia between 2006 and 2016. Mr Stevens has also made key contributions to a number of Australian and international boards and committees, including as chair of the Australian Council of Financial Regulators between 2006 and 2016, as a member of the Financial Stability Board and on a range of G20 committees. |
| (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.
| Individual Name | |
Prefix | |
First Name | Stuart |
Middle Name | |
Last Name | Green |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0541286 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 07-01-2021 |
| 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). | MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Stuart has been Managing Director and CEO of Macquarie Bank Ltd since July 2021. Stuart joined Macquarie Group in 2001 and worked in the Corporate and Asset Finance group, responsible for originating asset financing transactions for Macquarie. In 2002, he assumed responsibility for investor relations for Macquarie's listed airport fund, Macquarie Airports, before moving to become Global Head of Investor Relations for Macquarie's portfolio of listed funds. In 2008 he was appointed Macquarie Group's Head of Corporate Communications and Investor Relations, responsible for managing Macquarie Group's relationships with investors and analysts, government and media. Stuart was appointed Group Treasurer in August 2013, a role he held until July 2021, when he became Managing Director and CEO of Macquarie Bank Ltd. From 2010 to 2020, Stuart served on the Board of the Juvenile Diabetes Research Foundation (JDRF) where he was Treasurer and Chair of the Finance and Audit Committee. |
| (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.
| Individual Name | |
Prefix | |
First Name | Michelle |
Middle Name | A. |
Last Name | Hinchliffe |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0547381 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 03-01-2022 |
| 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). | INDEPENDENT VOTING DIRECTOR |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Michelle Hinchliffe has more than 35 years' professional experience within the financial services sector in the United Kingdom and Australia, with extensive experience in leading large global teams in the provision of external audit, internal audit and advisory services to clients across financial services. Michelle was the Global Lead Audit Partner for a number of global banking institutions as well as the Head of Audit, KPMG UK from September 2017 to April 2019 and then Chair of Audit, KPMG UK from May 2019 to September 2021. During the period from May 2019 to February 2022 she was a board member of KPMG UK. Prior to this she was the Head of Financial Services for KPMG Australia, where she was also a member of the board. |
| (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.
| Individual Name | |
Prefix | |
First Name | Ian |
Middle Name | M. |
Last Name | Saines |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0547381 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 06-01-2022 |
| 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). | INDEPENDENT VOTING DIRECTOR |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Ian Saines is an experienced leader in commercial and investment banking and asset management, having held senior roles at Commonwealth Bank of Australia, Challenger, Zurich Financial Services and Bankers Trust Australia. He began his career at the Reserve Bank of Australia and has a strong background in financial markets and highly regulated environments combined with audit, risk and investment committee experience. Mr Saines was formerly a director of Father Chris Riley's Youth off the Streets, a not for profit organisation providing support to chronically homeless and abused youth in our society and a director of the Australian Financial Markets Association (AFMA) from 2008 until 2013. |
| (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.
| Individual Name | |
Prefix | |
First Name | Susan |
Middle Name | J. |
Last Name | Lloyd-Hurwitz |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0557810 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 07-28-2023 |
| 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). | INDEPENDENT VOTING DIRECTOR |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Susan Lloyd-Hurwitz has significant expertise in the global investment and real estate sectors. She served as the CEO of Mirvac for more than a decade and prior to that was the Managing Director of Europe for LaSalle Investment Management. Susan was the National President for the Property Council of Australia, a director of the Business Council of Australia, and Chair of the Green Building Council of Australia. |
| (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.
| Individual Name | |
Prefix | |
First Name | David |
Middle Name | J.K. |
Last Name | Whiteing |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0559152 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 09-27-2023 |
| 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). | INDEPENDENT VOTING DIRECTOR |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Mr Whiteing has over 30 years of experience leading business and technology strategies across multiple sectors through periods of significant change. He has worked globally, including four years as Global Chief Operating Officer for Standard Chartered based in Singapore, various senior consulting roles in London and five years as a Group Executive at the Commonwealth Bank of Australia. Mr Whiteing was previously the Managing Director of Data and Cyber Transformation at Singtel Optus Pty Limited. |
| (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.
| Individual Name | |
Prefix | |
First Name | Wayne |
Middle Name | |
Last Name | Byres |
Suffix | |
| CRD, NFA, and/or IARD Number (if any) | |
CRD Number | |
NFA Number | 0561683 |
IARD Number | |
| Business Address(if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| 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). | INDEPENDENT VOTING DIRECTOR |
| For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or lARD, describe prior investment-related experience (e.g., for each prior position-employer, job title, and dates of service). | Mr Byres has significant experience in domestic and international bank regulation, risk management, governance and public policy as a former Chair of the Australian Prudential Regulation Authority (APRA) and Secretary General of the Basel Committee on Banking Supervision. He was also a member of the Australian Council of Financial Regulators and served as APRA's representative on the Reserve Bank of Australia's Payments System Board. |
| (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 | Macquarie Group 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 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 11-13-2007 |
| 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). | Macquarie Bank Limited ("MBL") has access to additional funding through customer deposits, wholesale issued paper, and other equity, debt and hybrid funding sources. MBL also accesses the Australian capital markets through the issuance of Negotiable Certificates of Deposit and, as an authorized deposit-taking institution, has access to liquidity from the Reserve Bank of Australia's daily market operations. |
| (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 | Macquarie B.H. 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) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Elizabeth Street |
Street Address 2 | |
City | Sydney |
State/Country |
AUSTRALIA
|
Zip + 4 Postal Code | 2000 |
| Effective Date MM DD YYYY | 11-13-2007 |
| 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). | Macquarie Bank Limited ("MBL") has access to additional funding through customer deposits, wholesale issued paper, and other equity, debt and hybrid funding sources. MBL also accesses the Australian capital markets through the issuance of Negotiable Certificates of Deposit and, as an authorized deposit-taking institution, has access to liquidity from the Reserve Bank of Australia's daily market operations. |
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:
MACQUARIE BANK LTD
Date:
Applicant NFA No.:
240934
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 | Macquarie Bank Limited Representative Office |
| Street Address 1 | 660 5th Ave |
| Street Address 2 | Attention: Legal and Governance |
| City | New York |
| State |
NEW YORK
|
| Zip/Postal Code | 10103 |
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: | Stephen Byron |
| Name: | Stephen Byron |
| Title: | Executive Director/Chief Compliance Officer |
| Date: | 11-20-2024 |
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 | Australian Prudential Regulation Authority (APRA) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
AUSTRALIA
|
| English Name of Foreign Financial Regulatory Authority | Australian Securities & Investments Commission (ASIC) |
| Foreign Registration No. (if any) | 237502 |
| English Name of Country: |
AUSTRALIA
|
| English Name of Foreign Financial Regulatory Authority | Monetary Authority of Singapore (MAS) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
SINGAPORE
|
| English Name of Foreign Financial Regulatory Authority | Dubai Financial Services Authority (DFSA) |
| Foreign Registration No. (if any) | F001369 |
| English Name of Country: |
UNITED ARAB EMIRATES
|
| English Name of Foreign Financial Regulatory Authority | Financial Conduct Authority (FCA) |
| Foreign Registration No. (if any) | FC018220 |
| English Name of Country: |
UNITED KINGDOM
|
| English Name of Foreign Financial Regulatory Authority | Prudential Regulatory Authority (PRA) |
| Foreign Registration No. (if any) | 471080 |
| English Name of Country: |
UNITED KINGDOM
|
| English Name of Foreign Financial Regulatory Authority | Reserve Bank of Australia (RBA) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
AUSTRALIA
|
| English Name of Foreign Financial Regulatory Authority | China Securities Regulatory Commission (CSRC) |
| Foreign Registration No. (if any) | QF2012AUB184 |
| English Name of Country: |
CHINA
|
| English Name of Foreign Financial Regulatory Authority | Securities and Exchange Board of India (SEBI) |
| Foreign Registration No. (if any) | IN-AU-FD 1006-05 |
| English Name of Country: |
INDIA
|
| English Name of Foreign Financial Regulatory Authority | Central Bank of the Republic of China (CBC) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
TAIWAN, PROVINCE OF CHINA
|
| English Name of Foreign Financial Regulatory Authority | Securities and Exchange Commission (SEC) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
THAILAND
|
| English Name of Foreign Financial Regulatory Authority | Financial Sector Conduct Authority (FSCA) |
| Foreign Registration No. (if any) | 43949 |
| English Name of Country: |
SOUTH AFRICA
|
| English Name of Foreign Financial Regulatory Authority | Financial Services Commission / Financial Supervisory Service (FSS) |
| Foreign Registration No. (if any) | 11260 |
| English Name of Country: |
KOREA, REPUBLIC OF
|
| English Name of Foreign Financial Regulatory Authority | People's Bank of China |
| Foreign Registration No. (if any) | |
| English Name of Country: |
CHINA
|
If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.