# EDGAR Filing Document

**Accession Number:** 0001343079
**File Stem:** 0001343079-25-000004
**Filing Date:** 2025-8
**Character Count:** 6647
**Document Hash:** 4117d099b922edff2cdb3efe2c36e292
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001343079-25-000004.hdr.sgml**: 20250813

**ACCESSION NUMBER**: 0001343079-25-000004

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 8

**FILED AS OF DATE**: 20250813

**DATE AS OF CHANGE**: 20250813

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CREDIT SUISSE INTERNATIONAL
- **CENTRAL INDEX KEY:** 0001343079

**ORGANIZATION NAME:**
- **EIN:** 133620321

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00192
- **FILM NUMBER:** 251213271

**BUSINESS ADDRESS:**
- **STREET 1:** 5 BROADGATE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** EC2M 2QS
- **BUSINESS PHONE:** 44 207888 1600

**MAIL ADDRESS:**
- **STREET 1:** 5 BROADGATE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** EC2M 2QS

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Credit Suisse First Boston International
- **DATE OF NAME CHANGE:** 20051101

### Attached PDF Documents

**Attachment 1:** `05-19-2014-StatementofFacts.pdf`

_No text found in this document._

**Attachment 2:** `05-19-2014-Information.pdf`

_No text found in this document._

**Attachment 3:** `05-19-2014-PleaAgreement.pdf`

_No text found in this document._

**Attachment 4:** `05-19-2014WaiverofIndictment.pdf`

_No text found in this document._

**Attachment 5:** `CSI-Opin-NonresidentSBSD.pdf`

_No text found in this document._

**Attachment 6:** `8062025SummaryOfChanges.pdf`

_No text found in this document._

**Attachment 7:** `CSiForm7RAug2025.pdf`

_No text found in this document._

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** CREDIT SUISSE INTERNATIONAL

**NFA Number:** 443823

**IRS Employer ID No.:** 13-3620321

**CIK:** 0001343079

**UIC:** E58DKGMJYYYJLN8C3868

**Main Address:** 5 BROADGATE, LONDON, X0, EC2M 2QS

**Business Telephone:** 44 207888 1600

**Contact Employee:**

- **Name:** DREW SHOEMAKER

- **Title:** GLOBAL HEAD OF REGULATORY SERVICES

- **Phone:** 1 919-994-1161

- **Email:** drew.shoemaker@ubs.com

**Chief Compliance Officer:**

- **Name:** AMY VEITCH

- **Title:** CHIEF COMPLIANCE OFFICER

- **Phone:** 44 2078881723

- **Email:** amy.veitch@ubs.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board

**Description of Business:**
THE DESCRIPTION COVERS INVESTMENT BANK WHICH PROVIDES A BROAD RANGE OF FINANCIAL PRODUCTS AND SERVICES FOCUSED ON CLIENT DRIVEN BUSINESSES. PRODUCTS AND SERVICES INCLUDE GLOBAL SECURITIES SALES, TRADING AND EXECUTION, CAPITAL RAISING, AND ADVISORY.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** Yes

**Is control exercised through an agreement?:** Yes

**Is applicant financed by another entity?:** Yes

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** Yes

**Number of Principals:** 9

### Schedule A: Principals

| Name                       | Title or Status          | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| JOHN DEVINE                | DIRECTOR                 | 11/2018         | 11/2017              |  |       510400 |
| Edward Jenkins             | Head of a Business Unit  | 09/2022         | 02/2022              |  |       549841 |
| David Andrew Thompson Todd | Board Member             | 12/2022         | 02/2022              |  |       554131 |
| Amy Veitch                 | CHIEF COMPLIANCE OFFICER | 06/2023         | 06/2023              |  |       557413 |
| BEATRIZ MARTIN JIMENEZ     | CHIEF EXECUTIVE OFFICER  | 08/2023         | 07/2023              |  |       486000 |
| CAROLINE PATRICIA STEWART  | CHIEF FINANCIAL OFFICER  | 08/2024         | 07/2023              |  |       523587 |
| JASON BARRON               | DIRECTOR                 | 08/2023         | 07/2023              |  |       523561 |
| JEREMY ANDERSON            | DIRECTOR                 | 08/2023         | 07/2023              |  |       561715 |
| JONATHAN MAGEE             | DIRECTOR                 | 08/2023         | 07/2023              |  |       561718 |

### Schedule B: Explanations

**Description:**
CSI'S BUSINESS FOCUSES ON TRANSACTIONS THAT ADDRESS THE BROAD FINANCING, RISK MANAGEMENT, AND INVESTMENT REQUIREMENTS OF ITS WORLDWIDE CLIENT BASE. CSI PROVIDES PRIVATE BANKING SOLUTIONS, AND A WIDE SPECTRUM OF BANK PRODUCTS SUCH AS TRADITIONAL AND STRUCTURED LENDING, PAYMENT SERVICES, FOREIGN EXCHANGE, COMMODITIES, DERIVATIVES AND CAPITAL GOODS LEASING.

**Records Keeper:**

- **Name:** PRICEWATERHOUSECOOPERS AG

  - **Address:** BIRCHSTRASSE 160, ZURICH, V8, 8050

  - **Effective Date:** 04-30-2020

  - **Arrangement:** PRICEWATERHOUSECOOPERS AG IS APPOINTED AS AN AUDITOR FOR CREDIT SUISSE INTERNATIONAL.

**Onbehalf:**

- **Name:** THE BANK OF NEW YORK MELLON

  - **Address:** ONE WALL STREET, NEW YORK, NY, 10286

  - **Effective Date:** 01-01-1900

  - **Arrangement:** PAYMENTS; SETTLEMENTS AND CUSTODY.

- **Name:** EUROCLEAR BANK S.A./N.V.

  - **Address:** 1 BOULEVARD DU ROI ALBERT II, BRUXELLES, C9, 1210

  - **Effective Date:** 01-01-1900

  - **Arrangement:** SETTLEMENTS AND CUSTODY.

- **Name:** ICE CLEAR CREDIT, LLC

  - **Address:** 1 NORTH END AVENUE, NEW YORK, NY, 10282

  - **Effective Date:** 01-01-1900

  - **Arrangement:** CLEARING

**Controlling Entity:**

- **Name:** CREDIT SUISSE AG

  - **Address:** PARADEPLATZ 8, ZURICH, V8, 8001

  - **Effective Date:** 05-09-1989

  - **Arrangement:** CREDIT SUISSE INTERNATIONAL IS 100% OWNED AND CONTROLLED BY CREDIT SUISSE AG, AND ITS ULTIMATE PARENT IS CREDIT SUISSE GROUP AG.

- **Name:** CREDIT SUISSE GROUP AG

  - **Address:** PAREDEPLATZ 8, ZURICH, V8, 8001

  - **Effective Date:** 05-09-1989

  - **Arrangement:** CREDIT SUISSE INTERNATIONAL IS 100% OWNED AND CONTROLLED BY CREDIT SUISSE AG, AND ITS ULTIMATE PARENT IS CREDIT SUISSE GROUP AG.

- **Name:** UBS GROUP AG

  - **Address:** BAHNHOFSTRASSE 45, ZURICH, V8, CH-8001

  - **Effective Date:** 06-12-2023

  - **Arrangement:** CREDIT SUISSE INTERNATIONAL'S ULTIMATE PARENT IS UBS GROUP AG.

### Execution

**Date:** 08-13-2025

**Name of Applicant:** CREDIT SUISSE INTERNATIONAL

**Signature:** Lorraine Bonnet

**Printed Name:** Lorraine Bonnet

**Title:** VP, Compliance