SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

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

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

  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
 
 
Plain Text 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
 
                                                                                                                                                                                
EDGAR Submission
 
Header Data:
Submission Type:  SBSE-A/A
Filer Info:
Filer:
Filer Credentials:
Filer CIK:  891478
Filer CCC:  XXXXXXXX
Flags:
Return Copy Flag?  Yes
Override Internet Flag?  No
Form Data:
Applicant:
Applicant One:
Applicant NFA Number:  266,796
Full Applicant Name:  Banco Santander, S.A.
IRS Empl Ident No.:  13-2617929
Applicant NFA ID:  266796
Applicant CIK:  891478
Applicant Uic:  5493006QMFDDMYWIAM13
Main Address:
Street 1:  CIUDAD GRUPO SANTANDER
Street 2:  BOADILLA DEL MONTE
City:  MADRID
State or Country:  U3
ZIP Code:  28660
Business Telephone Number:  34 91 289 32 80
Website Url:  www.santander.com
Contact Employee:
Contact Employee Name:
Prefix:  Mrs
First Name:  Lindsay
Last Name:  Cole
Title:  Global Head of Compliance
Phone:  001-447712548834
Email Address:  lindsay.cole@santandercib.co.uk
Chief Compliance Officer:
Officer Name:
Prefix:  Mr
First Name:  David
Middle Name:  Arthur
Last Name:  Hazell
Title:  Chief Compliance Officer
Phone:  617-901-0558
Email Address:  david.hazell@santander.us
Applicant Two:
Applicant Name:  Banco Santander, S.A.
Applicant NFA No.:  266,796
Is Swap Dealer?  Yes
Is Swap Participant?  No
Is Commission Determine?  No
Is Self Determine?  Yes
Foreign Financial Regulatory:  The Spanish Comision Nacional del Mercado de Valores
Description 3C:  N/A
Is Mathematical Models?  Yes
Registered as:  Swap Dealer
Is Non-Resident Entity?  No
Description Business:  Universal banking, including commercial banking, investment banking and private banking businesses.
Is Subject to Regulator?  Yes
Prudential Regulator:  The Federal Reserve Board
Is Investment Advisor?  No
Is Registered as Other?  No
Is Engage in Other Business?  Yes
Is Hold Funds?  Yes
Applicant Three:
Applicant Name:  Banco Santander, S.A.
Applicant NFA No.:  266,796
Is Records Kept?  No
Is on Behalf?  No
Is Control Through Agreement?  No
Is Wholly or Partially Finance?  No
Is Succeeding?  No
Is Foreign Regulatory?  Yes
Number of Principals:  19
Is Not Identified?  No
Schedule A:
Applicant Name:  Banco Santander, S.A.
Applicant Nfa No.:  266,796
Schedule A Info:
Individual Name:
Prefix:  Mrs
First Name:  Ana
Middle Name:  Patricia
Last Name:  Botin Sanz de Sautuola O'Shea
Title or Status:  President
Date Title or Status Acquired:  09/2014
Date Began Working:  11/1988
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  458,768
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Jose
Middle Name:  Antonio
Last Name:  Alvarez
Title or Status:  Director
Date Title or Status Acquired:  01/2023
Date Began Working:  05/2002
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  458,780
Schedule A Info:
Individual Name:
Prefix:  Mrs
First Name:  Akbari
Last Name:  Homaira
Title or Status:  Director
Date Title or Status Acquired:  09/2016
Date Began Working:  09/2016
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  499,838
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Javier
Last Name:  Botin Sanz de Sautuola O'Shea
Title or Status:  Director
Date Title or Status Acquired:  07/2004
Date Began Working:  07/2004
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  458,770
Schedule A Info:
Individual Name:
Prefix:  Mrs
First Name:  Sol
Last Name:  Daurella Comadran
Title or Status:  Director
Date Title or Status Acquired:  02/2015
Date Began Working:  02/2015
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  487,078
Schedule A Info:
Individual Name:
Prefix:  Mrs
First Name:  Gina
Middle Name:  Lorenza
Last Name:  Diez Barroso Azcarraga
Title or Status:  Director
Date Title or Status Acquired:  12/2020
Date Began Working:  12/2020
Have Ownership Interest?  No
Ownership Code:  NA
Nfa Identification No.:  536,553
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Henrique
Middle Name:  Manuel
Last Name:  Drummond Borges de Castro
Title or Status:  Director
Date Title or Status Acquired:  07/2019
Date Began Working:  07/2019
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  525,586
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Jose
Last Name:  Garcia Cantera
Title or Status:  Chief Financial Officer
Date Title or Status Acquired:  01/2015
Date Began Working:  05/2012
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  458,851
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Luis
Last Name:  Isasi Fernandez de Bobadilla
Title or Status:  Director
Date Title or Status Acquired:  05/2020
Date Began Working:  05/2020
Have Ownership Interest?  No
Ownership Code:  NA
Nfa Identification No.:  531,171
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Jose
Middle Name:  Maria
Last Name:  Linares Perou
Title or Status:  Head of Division
Date Title or Status Acquired:  06/2017
Date Began Working:  06/2017
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  505,774
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Ramiro
Last Name:  Mato Garcia-Ansorena
Title or Status:  Director
Date Title or Status Acquired:  11/2017
Date Began Working:  11/2017
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  510,196
Schedule A Info:
Individual Name:
Prefix:  Mrs
First Name:  Belen
Last Name:  Romana Garcia
Title or Status:  Director
Date Title or Status Acquired:  12/2015
Date Began Working:  12/2015
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  493,231
Schedule A Info:
Individual Name:
Prefix:  Mrs
First Name:  Pamela
Middle Name:  Ann
Last Name:  Walkden
Title or Status:  Director
Date Title or Status Acquired:  10/2019
Date Began Working:  10/2019
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  526,175
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  German
Last Name:  De la Fuente Escamilla
Title or Status:  DIRECTOR
Date Title or Status Acquired:  04/2022
Date Began Working:  04/2022
Have Ownership Interest?  No
Nfa Identification No.:  548,192
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Michael
Last Name:  Bagguley
Title or Status:  HEAD OF A BUSINESS UNIT
Date Title or Status Acquired:  08/2022
Date Began Working:  08/2022
Have Ownership Interest?  No
Ownership Code:  NA
Nfa Identification No.:  479,619
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Joseph Norton
Last Name:  Walsh III
Title or Status:  HEAD OF A BUSINESS UNIT
Date Title or Status Acquired:  04/2022
Date Began Working:  04/2022
Have Ownership Interest?  No
Nfa Identification No.:  393,249
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Hector Blas
Last Name:  Grisi Checa
Title or Status:  CHIEF EXECUTIVE OFFICER
Date Title or Status Acquired:  01/2023
Date Began Working:  12/2015
Have Ownership Interest?  Yes
Ownership Code:  NA
Nfa Identification No.:  553,823
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  Glenn Hogan
Last Name:  Hutchins
Title or Status:  Director
Date Title or Status Acquired:  12/2022
Date Began Working:  12/2022
Have Ownership Interest?  No
Nfa Identification No.:  553,419
Schedule A Info:
Individual Name:
Prefix:  Mr
First Name:  David
Middle Name:  Arthur
Last Name:  Hazell
Title or Status:  CHIEF COMPLIANCE OFFICER
Date Title or Status Acquired:  03/2024
Date Began Working:  03/2012
Have Ownership Interest?  No
Nfa Identification No.:  496,953
Schedule B:
Applicant Name:  Banco Santander, S.A.
Applicant NFA No.:  266,796
Initial or Amended:  INITIAL
Section One:
Uic Number:  5493006QMFDDMYWIAM13
Description:  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
Schedule F:
Name:  Banco Santander, S.A.
Applicant NFA No.:  266,796
Service of Process:
Firm or Individual:  Firm
Firm Name:  SANTANDER US CAPITAL MARKETS LLC
Service Address:
Street 1:  437 Madison Avenue
City:  New York
State or Country:  NY
ZIP Code:  10022
Signature:  s/ Jose Maria Linares Perou
Signer Name:  Jose Maria Linares Perou
Signer Title:  Sr. Executive Vice-President - Global Head of SCIB
Signature Date:  3/28/22
Foreign Financial Reg.:
Name of Regulatory:  Prudential Regulation Authority (PRA)
Name of Country:  X0
Foreign Financial Reg.:
Name of Regulatory:  Financial Conduct Authority (FCA)
Name of Country:  X0
Foreign Financial Reg.:
Name of Regulatory:  Bank of England (BoE)
Name of Country:  X0
Foreign Financial Reg.:
Name of Regulatory:  Netherlands Authority for the Financial Markets (AFM)
Name of Country:  P7
Foreign Financial Reg.:
Name of Regulatory:  Central Bank of The Netherlands (De Nederlandsche Bank (DNB)
Name of Country:  P7
Foreign Financial Reg.:
Name of Regulatory:  Monetary Authority of Singapore (MAS)
Name of Country:  U0
Foreign Financial Reg.:
Name of Regulatory:  Central Bank of Italy (Banca D'ltalia)
Name of Country:  L6
Foreign Financial Reg.:
Name of Regulatory:  Italian Markets Commission (Commissione Nazionale per le Societa e la Borsa (CONSOB)
Name of Country:  L6
Foreign Financial Reg.:
Name of Regulatory:  Hong Kong Monetary Authority (HKMA)
Name of Country:  K3
Foreign Financial Reg.:
Name of Regulatory:  Hong Kong Securities and Futures Commission (SFC)
Name of Country:  K3
Foreign Financial Reg.:
Name of Regulatory:  Federal Financial Supervisory Authority (BaFin)
Name of Country:  2M
Foreign Financial Reg.:
Name of Regulatory:  Central Bank of Germany (Bundesbank)
Name of Country:  2M
Foreign Financial Reg.:
Name of Regulatory:  French Prudential Supervision and Resolution Authority (Autorite de controle prudentiel et de resolution - ACPR)
Name of Country:  I0
Foreign Financial Reg.:
Name of Regulatory:  Financial markets authority (Autorite des marches financiers AMF)
Name of Country:  I0
Foreign Financial Reg.:
Name of Regulatory:  China Banking and Insurance Regulatory Commission (CBIRC)
Name of Country:  F4
Foreign Financial Reg.:
Name of Regulatory:  China Securities Regulatory Commission (CSRC)
Name of Country:  F4
Foreign Financial Reg.:
Name of Regulatory:  European Central Bank (ECB)
Name of Country:  2M
Foreign Financial Reg.:
Name of Regulatory:  Bank of Spain
Name of Country:  U3
Foreign Financial Reg.:
Name of Regulatory:  European Securities and Markets Authority (ESMA)
Name of Country:  I0
Foreign Financial Reg.:
Name of Regulatory:  Spanish Securities Market Commission (Comision Nacional del Mercado de Valores, CNMV)
Name of Country:  U3
Execution:
Date:  4/2/23
Name of Applicant:  Banco Santander, S.A.
Signature:  s/ Jose Maria Linares Perou
Name of Person Signing:  Jose Maria Linares Perou
Title of Person Signing:  Sr. Executive Vice-President - Global Head of SCIB


↑Top
Filing Submission 0000891478-24-000041   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Mon., Apr. 29, 2:01:03.1pm ET