SBSE-A/A: Filer InformationSBSE-A/A: Applicant Data - Page 1WARNING:
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
Date
| 04-02-2023 |
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 22.
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
|
3.4.
Does the applicant intend to compute capital or margin, or
price customer or proprietary positions, using mathematical models?
| Yes
No
|
5.
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
|
6.
Is the applicant a U.S. branch of a non-resident entity?
| Yes
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.
| 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
|
9.
Is the applicant registered with the Commission as an investment adviser?
| Yes
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?
| Yes
No
|
11.
Does applicant engage in any other non-securities,
financial services industry-related business?
| Yes
No
|
12.
Does the applicant hold or maintain any funds
or securities to collateralize counterparty transactions?
| Yes
No
|
SBSE-A/A: Applicant Data - Page 313.
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
|
14.
Does any person directly or indirectly control the
management or policies of the applicant through agreement or otherwise?
| Yes
No
|
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. | Yes
No
|
16.
Is the applicant at the time of this filing succeeding
to the business of a currently registered SBS Entity?
| Yes
No
|
17.
Is the applicant registered with a foreign financial regulatory authority?
| Yes
No
|
18.
The applicant has ___ principals who are individuals.
| 19 |
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?
| Yes
No
|
SBSE-A/A: Schedule A of FORM SBSE-APRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
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
| Yes
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
| Yes
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
| Yes
No
|
If yes, include ownership code
| 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
|
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
| Yes
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
| Yes
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
This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below:
| Initial
Amended
|
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-A1. 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 |
2. Certification regarding access to records:
Signature:
| s/ Jose Maria Linares Perou |
Name:
| Jose Maria Linares Perou |
Title:
| Sr. Executive Vice-President - Global Head of SCIB |
Date:
| 03-28-2022 |
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
|
|