# EDGAR Filing Document

**Accession Number:** 0001012467
**File Stem:** 0001012467-26-000003
**Filing Date:** 2026-4
**Character Count:** 8358
**Document Hash:** 0149159fbea82188a97b9d3263671ab6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001012467-26-000003.hdr.sgml**: 20260501

**ACCESSION NUMBER**: 0001012467-26-000003

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

**PUBLIC DOCUMENT COUNT**: 4

**FILED AS OF DATE**: 20260427

**DATE AS OF CHANGE**: 20260501

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Citigroup Global Markets Ltd
- **CENTRAL INDEX KEY:** 0001012467

**ORGANIZATION NAME:**
- **EIN:** 000000000
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00176
- **FILM NUMBER:** 26929761

**BUSINESS ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** CITIGROUP CENTRE, CANADA SQUARE
- **STREET 2:** CANARY WHARF
- **CITY:** LONDON
- **NON US STATE TERRITORY:** ENGLAND
- **PROVINCE COUNTRY:** X0
- **ZIP:** E145LB
- **BUSINESS PHONE:** 44-20-7500-5500

**MAIL ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** CITIGROUP CENTRE, CANADA SQUARE
- **STREET 2:** CANARY WHARF
- **CITY:** LONDON
- **NON US STATE TERRITORY:** ENGLAND
- **PROVINCE COUNTRY:** X0
- **ZIP:** E145LB

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CITIGROUP GLOBAL MARKETS LTD
- **DATE OF NAME CHANGE:** 20031015

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SALOMON BROTHERS INTERNATIONAL LTD
- **DATE OF NAME CHANGE:** 19960422

### Attached PDF Documents

**Attachment 1:** `cgml_legalopinion.pdf`

_No text found in this document._

**Attachment 2:** `cgml_reasonforchange.pdf`

_No text found in this document._

**Attachment 3:** `cgml_7r.pdf`

_No text found in this document._

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

### Applicant Information

**Full Applicant Name:** Citigroup Global Markets Ltd

**NFA Number:** 291281

**IRS Employer ID No.:** 00-0000000

**CIK:** 0001012467

**UIC:** XKZZ2JZF41MRHTR1V493

**Main Address:** CITIGROUP CENTRE, CANADA SQUARE, CANARY WHARF, LONDON, X0, E145LB

**Business Telephone:** 44-20-7500-5500

**Contact Employee:**

- **Name:** Michael McClain

- **Title:** Compliance Product Director

- **Phone:** 447167306178

- **Email:** michael.mcclain@citi.com

**Chief Compliance Officer:**

- **Name:** David Flowerday

- **Title:** Chief Compliance Officer

- **Phone:** 442075086939

- **Email:** david.flowerday@citi.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?:** No

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Description of Business:**
Citigroup Global Markets Limited CGML is a direct, wholly owned direct subsidiary of Citigroup Inc. CGML is incorporated in England and Wales, and is authorized by the Prudential Regulatory Authority and regulated by both the Financial Conduct Authority and Prudential Regulatory Authority as its primary regulators. CGMLs activities in respect of security-based swaps entails CGMLs Global Markets business within the Institutional Clients Group ICG segment of Citigroups operations. The Sales and Trading activity supporting Citis clients in respect of security-based swaps primarily sits in the Equities, Rates and Global Spread Products business lines.

### 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:** 15

### Schedule A: Principals

| Name                       | Title or Status                                              | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Andrew John Morton         | Head of Business Unit                                        | 04/2020         | 04/2020              |  |       522954 |
| David Leonard Flowerday    | Chief Compliance Officer                                     | 03/2019         | 09/2006              |  |       519823 |
| Sally Clark                | Director                                                     | 02/2021         | 02/2021              |  |       538968 |
| William Fall               | Director                                                     | 02/2021         | 02/2021              |  |       484489 |
| Jonathan Moulds            | Director(Application for association as Principal is pending | 02/2021         | 02/2021              |  |       485735 |
| Amit Anil Raja             | Director                                                     | 09/2022         | 06/1998              |  |       551559 |
| Iain Plunkett              | Director                                                     | 10/2022         | 10/2022              | NA - less than 5% |       553314 |
| Manjira Sen Gosain         | Director                                                     | 05/2024         | 06/2023              |  |       556290 |
| Tiina Le Seong Lee         | Chief Executive Officer                                      | 02/2024         | 10/2023              |  |       559796 |
| Casper Wilhelm Von Koskull | Director                                                     | 01/2024         | 09/2023              | NA - less than 5% |       520000 |
| Nicola Kane                | Head of a Business Unit, Division or Function                | 10/2024         | 10/2024              |  |       515303 |
| Paul Andrew Rayson         | Head of Business Unit, Division or Function                  | 12/2024         | 12/2024              |  |       566652 |
| Nicola Jane Atkinson       | Executive Director                                           | 07/2025         | 11/2024              |  |       571330 |
| Nikhil Joshi               | Head of Business Unit, Division or Function                  | 04/2026         | 04/2026              |  |       577739 |
| Gagandeep Singh            | Director                                                     | 04/2026         | 03/2026              |  |       577102 |

### Schedule B: Explanations

**Description:**
CGMLs Global Markets sits within the Institutional Clients Group ICG segment of Citigroups operations. CGML acts as Citis international broker dealer serving its institutional and corporate clients. CGML has a major presence as a dealer, market maker and underwriter in fixed income, equities, and commodities markets. The company also provides advisory services to a wide range of corporate, institutional and government clients. CGMLs trading activities encompass cash, exchange traded and OTC derivative markets. CGMLs business is almost entirely wholesale in nature - its major counterparties are banks, investment firms, investment managers, insurers and hedge funds and it also has moderate trading exposure to corporates.

**Records Keeper:**

- **Name:** KPMG LLP

  - **Address:** 15 Canada Square, London,, X0, E14 5GL

  - **Effective Date:** 02-12-2013

  - **Arrangement:** Relationship in respect of books or records - auditors

- **Name:** ZL Technologies Inc.

  - **Address:** 860 N. McCarthy Blvd, Milpita, Suite 100, Milpitas, CA, CA 95035

  - **Effective Date:** 02-15-2018

  - **Arrangement:** Electronic communication records are transmitted by CGML to ZL Tech for storage

**Onbehalf:**

- **Name:** Euroclear Bank SA/NV

  - **Address:** 1 Boulevard du Roi Albert II, Brussels, C9, B-1210

  - **Effective Date:** 08-01-2016

  - **Arrangement:** The organization provides margin custody services.

- **Name:** The Bank of New York Mellon, London Branch

  - **Address:** 1 Canada Square, London, X0, E14 5AL

  - **Effective Date:** 11-24-2008

  - **Arrangement:** The organization provides margin custody services.

**Controlling Entity:**

- **Name:** Citigroup Inc.

  - **Address:** 388 Greenwich Street,, New York,, NY, NY 1001

  - **Effective Date:** 10-08-1998

  - **Arrangement:** CGML is an indirect wholly owned subsidiary of Citigroup, Inc

### Execution

**Date:** 04-24-2026

**Name of Applicant:** Citigroup Global Markets Ltd

**Signature:** David Flowerday

**Printed Name:** David Flowerday

**Title:** Chief Compliance Officer