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Banco Santander, S.A. – ‘SBSE-A/A’ on 4/5/24

On:  Friday, 4/5/24, at 10:16am ET   ·   As of:  4/2/24   ·   Accession #:  891478-24-41   ·   File #:  26-00211

Previous ‘SBSE-A’:  ‘SBSE-A/A’ on 2/22/23   ·   Latest ‘SBSE-A’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size

 4/02/24  Banco Santander, S.A.             SBSE-A/A    4/05/24    4:3.8M

Amendment to Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as such   —   Form SBSE-A

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SBSE-A/A    Amendment to Application for Registration by a      HTML     21K 
                Security-Based Swap Dealer or Major Security-Based               
                Swap Participant that is Registered or Registering               
                with the CFTC as such -- primary_doc.xml                         
 2: EX-99.34 OPIN COUNSL  Opinion of Counsel re: Legality --         PDF    217K 
                signedopinionuria2                                               
 3: EX-99.35 OTHER  Other Disclosure -- summary                      PDF    117K 
 4: EX-99.36 Form 7-R  Form 7-R - Commodity Futures Trading          PDF   3.50M 
                Commission (CFTC) -- fsevenup

‘SBSE-A/A’   —   Amendment to Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as such — primary_doc.xml



        

This ‘SBSE-A/A’ Document is an XML Data File that may be rendered in various formats:

  Form SBSE-A    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Amendment to Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as such
 
schema version:

SBSE-A/A: Filer Information

SBSE-A/A: Applicant Data - Page 1

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:

A. Full name of the applicant
Banco Santander, S.A.
B. IRS Empl. Ident. No.:
13-2617929
C. Applicant's NFA ID #:
266796
Applicant's CIK #:
0000891478
Applicant’s UIC # (if any):
5493006QMFDDMYWIAM13
D. Applicant's Main Address: (Do not use a P.O. Box)
Street Address 1:
CIUDAD GRUPO SANTANDER
Street Address 2:
BOADILLA DEL MONTE
City:
MADRID
State/Province/Country:
SPAIN
Zip/ Postal Code:
28660
E. Mailing Address, if different:
Street Address 1:
Street Address 2:
City:
State/Province/Country:
Zip/ Postal Code:
F. Business Telephone Number:
34 91 289 32 80
G. Website/URL:
www.santander.com
H. Contact Employee:
Prefix:
Mrs
First Name:
Lindsay
Middle Name:
Last Name:
Cole
Suffix:
Title:
Global Head of Compliance
Phone:
001-447712548834
Email Address:
lindsay.cole@santandercib.co.uk
I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k):
Prefix:
Mr
First Name:
David
Middle Name:
Arthur
Last Name:
Hazell
Suffix:
Title:
Chief Compliance Officer
Phone:
617-901-0558
Email Address:
david.hazell@santander.us

SBSE-A/A: EXECUTION

EXECUTION:

The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.

The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.

Date
4/2/23
Name of Applicant
Banco Santander, S.A.
By: Signature
s/ Jose Maria Linares Perou
Name of Person Signing on Applicant's behalf
Jose Maria Linares Perou
Title of Person Signing on Applicant's behalf
Sr. Executive Vice-President - Global Head of SCIB

SBSE-A/A: Applicant Data - Page 2

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:  Banco Santander, S.A.
Date:     Applicant NFA No.:  266796

2.

A. The applicant is registering as a security-based swap dealer: Radio button checked Yes Radio button not checked No
B. The applicant is registering as a major security-based swap participant: Radio button not checked Yes Radio button checked No

3.

A. Is the applicant a foreign security-based swap dealer that intends to:
  • work with the Commission and its primary regulator to have the Commission determine whether the requirements of its primary regulator's regulatory system are comparable to the Commission's
Radio button not checked Yes Radio button checked No
  • avail itself of a previously granted substituted compliance determination
Radio button checked Yes Radio button not checked No
with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder?
B. If "yes" to either of the questions in Item 3.A. above, identify the foreign financial regulatory authority that serves as the applicant's primary regulator and for which the Commission has made, or may make, a substituted compliance determination:
The Spanish Comision Nacional del Mercado de Valores
C. If the applicant is relying on a previously granted substituted compliance determination, please describe how the applicant satisfies any conditions the Commission may have placed on such substituted compliance determination:
N/A

4.

Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? Radio button checked Yes Radio button not checked No

5.

A. The applicant is currently registered with the Commodity Futures Trading Commission as a: Radio button checked Swap Dealer  Radio button not checked Major Swap Participant
B. The applicant is registering with the Commodity Futures Trading Commission as a: Radio button not checked Swap Dealer  Radio button not checked Major Swap Participant

6.

Is the applicant a U.S. branch of a non-resident entity? Radio button not checked Yes Radio button checked No

7.

Briefly describe the applicant's business:
Universal banking, including commercial banking, investment banking and private banking businesses.

8.

Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. Radio button checked Yes Radio button not checked No
If "yes," identify the prudential regulator:
Checkbox checked The Federal Reserve Board
Checkbox not checked The Office of the Comptroller of the Currency
Checkbox not checked The Federal Deposit Insurance Corporation
Checkbox not checked The Farm Credit Administration
Checkbox not checked The Federal Housing Finance Agency

9.

Is the applicant registered with the Commission as an investment adviser? Radio button not checked Yes Radio button checked No

10.

A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? Radio button not checked Yes Radio button checked No

11.

Does applicant engage in any other non-securities, financial services industry-related business? Radio button checked Yes Radio button not checked No

If "yes," describe each other business briefly on Schedule B, Section I.

12.

Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? Radio button checked Yes Radio button not checked No

SBSE-A/A: Applicant Data - Page 3

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:  Banco Santander, S.A.
Date:     Applicant NFA No.:  266796

13.

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? Radio button not checked Yes Radio button checked 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)? Radio button not checked Yes Radio button checked No

If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.

14.

Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section II.

15.

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.Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section II.

16.

Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate items on Schedule B, Section Ill.

17.

Is the applicant registered with a foreign financial regulatory authority? Radio button checked Yes Radio button not checked No

If "yes," list all such registrations on Schedule F, Page 1, Section II.

18.

The applicant has ___ principals who are individuals.
19

Please list all principals who are individuals on Schedule A.

19.

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? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section IV.

SBSE-A/A: Schedule A of FORM SBSE-A

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:  Banco Santander, S.A.
Date:     Applicant NFA No.:  266796

PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)

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

FULL LEGAL NAME

Prefix
Mrs
Individuals: Last Name
Botin Sanz de Sautuola O'Shea
Individuals: First Name
Ana
Individuals: Middle Name
Patricia
Suffix
Title or Status
President
Date Title or Status Acquired(MM/YYYY)
09/2014
Date Individual began working for applicant (MM/YYYY)
11/1988
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
458768
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Alvarez
Individuals: First Name
Jose
Individuals: Middle Name
Antonio
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
01/2023
Date Individual began working for applicant (MM/YYYY)
05/2002
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
458780
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):

FULL LEGAL NAME

Prefix
Mrs
Individuals: Last Name
Homaira
Individuals: First Name
Akbari
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
09/2016
Date Individual began working for applicant (MM/YYYY)
09/2016
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
499838
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Botin Sanz de Sautuola O'Shea
Individuals: First Name
Javier
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
07/2004
Date Individual began working for applicant (MM/YYYY)
07/2004
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
458770
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):

FULL LEGAL NAME

Prefix
Mrs
Individuals: Last Name
Daurella Comadran
Individuals: First Name
Sol
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
02/2015
Date Individual began working for applicant (MM/YYYY)
02/2015
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
487078
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):

FULL LEGAL NAME

Prefix
Mrs
Individuals: Last Name
Diez Barroso Azcarraga
Individuals: First Name
Gina
Individuals: Middle Name
Lorenza
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
12/2020
Date Individual began working for applicant (MM/YYYY)
12/2020
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
536553
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Drummond Borges de Castro
Individuals: First Name
Henrique
Individuals: Middle Name
Manuel
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
07/2019
Date Individual began working for applicant (MM/YYYY)
07/2019
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
525586
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Garcia Cantera
Individuals: First Name
Jose
Individuals: Middle Name
Suffix
Title or Status
Chief Financial Officer
Date Title or Status Acquired(MM/YYYY)
01/2015
Date Individual began working for applicant (MM/YYYY)
05/2012
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
458851
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Isasi Fernandez de Bobadilla
Individuals: First Name
Luis
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
05/2020
Date Individual began working for applicant (MM/YYYY)
05/2020
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
531171
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Linares Perou
Individuals: First Name
Jose
Individuals: Middle Name
Maria
Suffix
Title or Status
Head of Division
Date Title or Status Acquired(MM/YYYY)
06/2017
Date Individual began working for applicant (MM/YYYY)
06/2017
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
505774
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Mato Garcia-Ansorena
Individuals: First Name
Ramiro
Individuals: Middle Name
Suffix
Title or Status
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 Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
510196
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):

FULL LEGAL NAME

Prefix
Mrs
Individuals: Last Name
Romana Garcia
Individuals: First Name
Belen
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
12/2015
Date Individual began working for applicant (MM/YYYY)
12/2015
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
493231
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):

FULL LEGAL NAME

Prefix
Mrs
Individuals: Last Name
Walkden
Individuals: First Name
Pamela
Individuals: Middle Name
Ann
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
10/2019
Date Individual began working for applicant (MM/YYYY)
10/2019
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
526175
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
De la Fuente Escamilla
Individuals: First Name
German
Individuals: Middle Name
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
04/2022
Date Individual began working for applicant (MM/YYYY)
04/2022
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
548192
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Bagguley
Individuals: First Name
Michael
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT
Date Title or Status Acquired(MM/YYYY)
08/2022
Date Individual began working for applicant (MM/YYYY)
08/2022
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
479619
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Walsh III
Individuals: First Name
Joseph Norton
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT
Date Title or Status Acquired(MM/YYYY)
04/2022
Date Individual began working for applicant (MM/YYYY)
04/2022
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
393249
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Grisi Checa
Individuals: First Name
Hector Blas
Individuals: Middle Name
Suffix
Title or Status
CHIEF EXECUTIVE OFFICER
Date Title or Status Acquired(MM/YYYY)
01/2023
Date Individual began working for applicant (MM/YYYY)
12/2015
Does person have an ownership interest in the applicant Radio button checked Yes Radio button not checked No
If yes, include ownership code
Radio button checked NA - less than 5%
Radio button not checked A - 5% but less than 10%
Radio button not checked B - 10% but less than 25%
Radio button not checked C - 25% but less than 50%
Radio button not checked D - 50% but less than 75%
Radio button not checked E - 75% or more

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
553823
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Hutchins
Individuals: First Name
Glenn Hogan
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
12/2022
Date Individual began working for applicant (MM/YYYY)
12/2022
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
553419
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):

FULL LEGAL NAME

Prefix
Mr
Individuals: Last Name
Hazell
Individuals: First Name
David
Individuals: Middle Name
Arthur
Suffix
Title or Status
CHIEF COMPLIANCE OFFICER
Date Title or Status Acquired(MM/YYYY)
03/2024
Date Individual began working for applicant (MM/YYYY)
03/2012
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
496953
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):

SBSE-A/A: Schedule B of FORM SBSE-A

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:  Banco Santander, S.A.
Date:     Applicant NFA No.:  266796

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: Radio button checked Initial   Radio button not checked Amended

Section I

Other Business

Item 11: Does applicant engage in any other non-securities, financial services industry-related business?

UIC (if any), or other Unique Identification Number(s):
5493006QMFDDMYWIAM13
Assigning Regulator(s)/Entity(s):
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
We engage in all types of typical banking activities, operations and services. Santander is structured into Retail Banking, Santander Corporate & Investment Banking (SCIB), Wealth Management & Insurance (WM&I) and PagoNxt. - Retail Banking: this covers all customer banking businesses, including consumer finance. - Santander Corporate & Investment Banking (SCIB): this business reflects revenue from global corporate banking, investment banking and markets worldwide including treasuries managed globally, as well as equity business. - Wealth Management & Insurance: includes the asset management business (Santander Asset Management), the corporate unit of Private Banking and International Private Banking in Miami and Switzerland and the insurance business -In addition to these operating units, the Digital Consumer Bank includes Santander Consumer Finance, which incorporates the entire consumer finance business in Europe, Openbank and ODS

SBSE-A/A: SCHEDULE F of Form SBSE-A

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:  Banco Santander, S.A.
Date:     Applicant NFA No.:  266796

Section I

Service of Process and Certification Regarding Access to Records

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.

1. Service of Process:

A. Name of United States person applicant designates and appoints as agent for service of process

Name
SANTANDER US CAPITAL MARKETS LLC

B. Address of United States person applicant designates and appoints as agent for service of process

Street Address 1
437 Madison Avenue
Street Address 2
City
New York
State
NEW YORK
Zip/Postal Code
10022

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.

2. Certification regarding access to records:

Applicant can as a matter of law, and will;
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.

Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240. 15Fb2-4].

Signature:
s/ Jose Maria Linares Perou
Name:
Jose Maria Linares Perou
Title:
Sr. Executive Vice-President - Global Head of SCIB
Date:
3/28/22

Section II

Registration with Foreign Financial Regulatory Authorities

Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

English Name of Foreign Financial Regulatory Authority
Prudential Regulation Authority (PRA)
Foreign Registration No. (if any)
English Name of Country:
UNITED KINGDOM
English Name of Foreign Financial Regulatory Authority
Financial Conduct Authority (FCA)
Foreign Registration No. (if any)
English Name of Country:
UNITED KINGDOM
English Name of Foreign Financial Regulatory Authority
Bank of England (BoE)
Foreign Registration No. (if any)
English Name of Country:
UNITED KINGDOM
English Name of Foreign Financial Regulatory Authority
Netherlands Authority for the Financial Markets (AFM)
Foreign Registration No. (if any)
English Name of Country:
NETHERLANDS
English Name of Foreign Financial Regulatory Authority
Central Bank of The Netherlands (De Nederlandsche Bank (DNB)
Foreign Registration No. (if any)
English Name of Country:
NETHERLANDS
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
Central Bank of Italy (Banca D'ltalia)
Foreign Registration No. (if any)
English Name of Country:
ITALY
English Name of Foreign Financial Regulatory Authority
Italian Markets Commission (Commissione Nazionale per le Societa e la Borsa (CONSOB)
Foreign Registration No. (if any)
English Name of Country:
ITALY
English Name of Foreign Financial Regulatory Authority
Hong Kong Monetary Authority (HKMA)
Foreign Registration No. (if any)
English Name of Country:
HONG KONG
English Name of Foreign Financial Regulatory Authority
Hong Kong Securities and Futures Commission (SFC)
Foreign Registration No. (if any)
English Name of Country:
HONG KONG
English Name of Foreign Financial Regulatory Authority
Federal Financial Supervisory Authority (BaFin)
Foreign Registration No. (if any)
English Name of Country:
GERMANY
English Name of Foreign Financial Regulatory Authority
Central Bank of Germany (Bundesbank)
Foreign Registration No. (if any)
English Name of Country:
GERMANY
English Name of Foreign Financial Regulatory Authority
French Prudential Supervision and Resolution Authority (Autorite de controle prudentiel et de resolution - ACPR)
Foreign Registration No. (if any)
English Name of Country:
FRANCE
English Name of Foreign Financial Regulatory Authority
Financial markets authority (Autorite des marches financiers AMF)
Foreign Registration No. (if any)
English Name of Country:
FRANCE
English Name of Foreign Financial Regulatory Authority
China Banking and Insurance Regulatory Commission (CBIRC)
Foreign Registration No. (if any)
English Name of Country:
CHINA
English Name of Foreign Financial Regulatory Authority
China Securities Regulatory Commission (CSRC)
Foreign Registration No. (if any)
English Name of Country:
CHINA
English Name of Foreign Financial Regulatory Authority
European Central Bank (ECB)
Foreign Registration No. (if any)
English Name of Country:
GERMANY
English Name of Foreign Financial Regulatory Authority
Bank of Spain
Foreign Registration No. (if any)
English Name of Country:
SPAIN
English Name of Foreign Financial Regulatory Authority
European Securities and Markets Authority (ESMA)
Foreign Registration No. (if any)
English Name of Country:
FRANCE
English Name of Foreign Financial Regulatory Authority
Spanish Securities Market Commission (Comision Nacional del Mercado de Valores, CNMV)
Foreign Registration No. (if any)
English Name of Country:
SPAIN

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.


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