# EDGAR Filing Document

**Accession Number:** 0000312070
**File Stem:** 0000312070-23-000008
**Filing Date:** 2023-3
**Character Count:** 159640
**Document Hash:** 1bbed8245efa5c9ac4b06c868ba10b6e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000312070-23-000008.hdr.sgml**: 20230323

**ACCESSION NUMBER**: 0000312070-23-000008

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

**PUBLIC DOCUMENT COUNT**: 7

**FILED AS OF DATE**: 20230321

**DATE AS OF CHANGE**: 20230323

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BARCLAYS BANK PLC
- **CENTRAL INDEX KEY:** 0000312070
- **STANDARD INDUSTRIAL CLASSIFICATION:** COMMERCIAL BANKS, NEC [6029]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00139
- **FILM NUMBER:** 23754710

**BUSINESS ADDRESS:**
- **STREET 1:** 1 CHURCHILL PLACE
- **STREET 2:** CANARY WHARF
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** E14 5HP
- **BUSINESS PHONE:** 0044-20-3555-4619

**MAIL ADDRESS:**
- **STREET 1:** 1 CHURCHILL PLACE
- **STREET 2:** CANARY WHARF
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** E14 5HP

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BARCLAYS BANK PLC /ENG/
- **DATE OF NAME CHANGE:** 19990402

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BARCLAYS BANK INTERNATIONAL LTD
- **DATE OF NAME CHANGE:** 19850313

### Attached PDF Documents

**Attachment 1:** `barclays7R.pdf`

# National Futures Association

Firm Application (7R) Filed December 12, 2012

Page 1

OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

## Instructions

READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION.

### DEFINED TERMS

Words that are underlined in this form are defined terms and have the meanings contained in the Definition of Terms section.

### GENERAL

Read the Instructions and Questions Carefully

A question that is answered incorrectly because it was misread or misinterpreted can result in severe consequences, including denial or revocation of registration. Although this applies to all questions in the application, it is particularly important to the questions in the Disciplinary Information Section.

Rely Only on Advice from NFA Staff

A question that is answered incorrectly because of advice received from a lawyer, employer, a judge or anyone else (other than a member of NFA's Registration, Compliance, Legal or Information Center ("RCLI") departments) can result in severe consequences, including denial or revocation of registration. This also applies to all questions in the form, but is particularly important regarding the Disciplinary Information Section. If the language of a question in the Disciplinary Information Section requires disclosure of a matter, a "Yes" answer to the question is required no matter what other advice has been received from anyone other than NFA's RCLI staff. Additionally, the applicant or registrant remains responsible for failures to disclose even if someone completes the form on the applicant's or registrant's behalf.

Update the Information on the Application

If information provided on the application changes or a matter that would have required disclosure on the application occurs after the application is filed, the new information must be promptly filed. APs and Principals should advise their Sponsors of the new information, and the Sponsor must file the update on their behalf. The failure to promptly update information can result in severe consequences, including denial or revocation of registration.

Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient

# National Futures Association

Firm Application (7R) Filed December 12, 2012

Page 2

OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

With some exceptions, which are described below in the Regulatory and Financial Questions sections, if any question requires the provision of information, that information must be provided. In particular, if a question in the Disciplinary Information Section requires disclosure of a matter, the question must be answered "Yes" and additional documents must be provided even if the matter has been disclosed to another regulatory body such as FINRA, an exchange or a state regulator. Similarly, disclosure is required even if another regulatory body does NOT require disclosure of the same matter.

Call NFA with Questions

If there is any question about whether particular information must be provided, whether a particular matter must be disclosed or whether a particular question requires a "Yes" answer, call the NFA Information Center at (312) 781-1410. Representatives are available from 8:00 a.m. to 5:00 p.m., Central Time, Monday through Friday. If the advice of NFA staff is sought, a written record containing the date of the conversation, the name of the NFA staff person giving the advice and a description of the advice should be made during the conversation and kept in the event an issue concerning disclosure of the matter arises later.

## DISCIPLINARY INFORMATION SECTION

Criminal Disclosures

Some common mistakes in answering the criminal disclosure questions involve expungements, diversion programs and similar processes. The Commodity Futures Trading Commission requires a "Yes" answer even if the matter has been expunged or the records sealed, there was no adjudication or finding of guilt, the guilty plea was vacated or set aside or the matter was dismissed upon completion of the diversion program.

Another common error regarding criminal matters concerns matters that do not involve the futures industry. All criminal matters must be disclosed, even if a matter is unrelated to the futures industry, unless the case was decided in a juvenile court or under a Youth Offender law.

Regulatory Disclosures

Regulatory actions taken by the Commodity Futures Trading Commission, NFA or domestic futures exchanges do not need to be disclosed since NFA is already aware of them once they are entered into NFA's BASIC system.

Financial Disclosures

It is not necessary to disclose arbitration or CFTC reparations matters unless the applicant or registrant has failed to pay an award issued in a futures-related arbitration or an order entered in a

# National Futures Association

Firm Application (7R) Filed December 12, 2012

Page 3

OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

reparations matter.

Only adversary actions that a bankruptcy trustee or a trustee's attorney files must be disclosed.

Adversary actions that creditors file are not disclosable. A person named as a party to an adversary action in a bankruptcy proceeding must disclose the action, even if the person is not the bankrupt person.

## ADDITIONAL DOCUMENTS

For any matter that caused a "Yes" answer, a written explanation detailing the events and conduct must be provided. That explanation can be entered on the Matter pages by giving it a name, e.g., the docket number of the case, and describing it in the text box. Alternatively, the explanation can be sent in hard copy format to NFA.

In addition to the required explanation, other documents about the matter must be sent to NFA. If court documents are unavailable, a letter from the court verifying that must be sent to NFA. If documents other than court documents are unavailable, the person must provide a written explanation for their unavailability.

Like answering the questions correctly, providing all documents to NFA is important. Failure to do so will delay the registration process and may result in a denial of the application.

# National Futures Association

Firm Application (7R) Filed December 12, 2012

Page 4

OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

## Definition of Terms

(The following terms are defined solely for the purpose of using NFA's Online Registration System.)

10% OR MORE INTEREST: direct or indirect ownership of 10% or more of an applicant's or registrant's stock; entitlement to vote or empowered to sell 10% or more of an applicant's or registrant's voting securities; contribution of 10% or more of an applicant's or registrant's capital; or entitlement to 10% or more of an applicant's or registrant's net profits.

ADJUDICATION: in a criminal case, a determination by the court that the defendant is guilty or not guilty.

ADVERSARY ACTION: a lawsuit arising in or related to a bankruptcy case commenced by a creditor or bankruptcy trustee by filing a complaint with the bankruptcy court.

ALIAS: another name utilized by an individual or previously used by an entity.

CHARGE: a formal complaint, information, indictment or equivalent instrument containing an accusation of a crime.

DBA: abbreviation for Doing Business As. The firm is doing its futures, retail off-exchange forex or swaps business by this name.

### DESIGNATED SUPERVISOR:

Solely for the purpose of determining whether the Branch Manager Examination (Series 30) is required, Designated Supervisor means a person who is registered with FINRA (formerly known as NASD) as a General Securities Representative and has been designated to act as the supervisor of an office that is not an Office of Supervisory Jurisdiction ("non-OSJ"), provided that:

- either the futures activity conducted in the non-OSJ that is subject to the Designated Supervisor's supervision is limited to activity not requiring the Series 3 Examination and both the Designated Supervisor and the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports have otherwise satisfied NFA's Proficiency Requirements appropriate to their supervisory activities; or
- the activity that is conducted in the non-OSJ that requires the Series 3 Examination is supervised by the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports and both the Designated Supervisor and Branch Office Manager have passed the Series 3 Examination.

ENJOINED: subject to an injunction.

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

ENTITY: any person other than an individual.

FELONY: any crime classified as a felony and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of more than one year. The term also includes a general court martial.

FINANCIAL SERVICES INDUSTRY: the commodities, securities, accounting, banking, finance, insurance, law or real estate industries.

FOUND: subject to a determination that conduct or a rule violation has occurred. The term applies to dispositions of any type, including but not limited to consent decrees or settlements in which the findings are neither admitted nor denied or in which the findings are for settlement or record purposes only.

# INTERNAL REVENUE CODE:

Section 7203: Willful Failure to File Return, Supply Information or Pay Tax

Section 7204: Fraudulent Statement or Failure to Make Statement

Section 7205: Fraudulent Withholding Exemption Certificate or Failure to Supply Information

Section 7207: Fraudulent Returns, Statements or Other Documents

# INVESTMENT RELATED STATUTES:

- The Commodity Exchange Act
- The Securities Act of 1933
- The Securities Exchange Act of 1934
- The Public Utility Holding Company Act of 1935
- The Trust Indenture Act of 1939
- The Investment Advisers Act of 1940
- The Investment Company Act of 1940
- The Securities Investors Protection Act of 1970
- The Foreign Corrupt Practices Act of 1977
- Chapter 96 of Title 18 of the United States Code
- Any similar statute of a State or foreign jurisdiction
- Any rule, regulation or order under any such statutes; and
- The rules of the Municipal Securities Rulemaking Board

MISDEMEANOR: any crime classified as a misdemeanor and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of at least six days but not more than one year. By way of example, an offense for which the maximum period of imprisonment is 60 days would be considered a misdemeanor. The term also includes a special court martial.

# National Futures Association

Firm Application (7R) Filed December 12, 2012

Page 6

OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

OTHER NAME: For firms or sole proprietors, any other name that the applicant uses or has used in the past for its futures, retail off-exchange forex or swaps business but not the name of any other legal entity that the applicant has an affiliation or association with (see DBA). For individuals, this is any name the person is or has been known by. For example, a maiden name, an alias name that you use or are known by, or a previous name if you have changed your legal name.

PERSON: an individual, association, partnership, corporation, limited liability company, limited liability partnership, trust, or other form of business organization.

PRINCIPAL: an individual who is:

- a sole proprietor of a sole proprietorship; or
- a general partner of a partnership; or
- a director, president, chief executive officer, chief operating officer or chief financial officer of a corporation, limited liability company or limited partnership; or
- in charge of a business unit, division or function of a corporation, limited liability company or limited partnership if the unit, division or function is subject to regulation by the Commission; or
- a manager, managing member or a member vested with the management authority for a limited liability company or limited liability partnership; or

an individual who directly or indirectly, through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of a registrant's stock; or
- is entitled to vote 10% or more of any class of a registrant's voting securities; or
- has the power to sell or direct the sale of 10% or more of any class of a registrant's voting securities; or
- has contributed 10% or more of a registrant's capital; or
- is entitled to receive 10% or more of a registrant's net profits; or
- has the power to exercise a controlling influence over a registrant's activities that are subject to regulation by the Commission; or

an entity that:

- is a general partner of a registrant; or
- is the direct owner of 10% or more of any class of a registrant's securities; or
- has directly contributed 10% or more of a registrant's capital unless such capital contribution consists of subordinated debt contributed by:

- an unaffiliated bank insured by the Federal Deposit Insurance Corporation; or

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

- a United States branch or agency of an unaffiliated foreign bank that is licensed under the laws of the United States and regulated, supervised and examined by United States government authorities having regulatory responsibility for such financial institutions; or
- an insurance company subject to regulation by any State.

SELF-REGULATORY ORGANIZATION (SRO): a private, non-governmental organization authorized to set and enforce standards or conduct for an industry. NFA, FINRA (formerly known as NASD), and the securities and futures exchanges in the U.S. are examples of domestic SROs.

UNITED STATES CRIMINAL CODE:

| Section 152: | Concealment of assets, making false claims or bribery in connection with a bankruptcy |
| --- | --- |
| Section 1341, 1342 or 1343: | Mail fraud |
| Chapter 25: | Counterfeiting and forgery |
| Chapter 47: | Fraud or false statements in a matter within the jurisdiction of a United States department or agency |
| Chapter 95 or 96: | Racketeering and Racketeering Influence |

National Futures Association

Firm Application (7R) Filed December 12, 2012

Page 8

OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

### Privacy Act and Paperwork Reduction Act Notice

The information in Forms 7-R, 7-W, 8-R and 8-T and on the fingerprint card is being collected pursuant to authority granted in Sections 2c, 4f, 4k, 4n, 4s, 8a and 19 of the Commodity Exchange Act [7 U.S.C. §§ 6f, 6k, 6n, 6s, 12a and 23]. Under Section 2c, it is unlawful for anyone to engage in off-exchange foreign currency futures transactions or off-exchange foreign currency leveraged, margined or financed transactions with persons who are not eligible contract participants without registration, or exemption from registration, as a retail foreign exchange dealer, futures commission merchant, introducing broker, commodity pool operator or commodity trading advisor, as appropriate. Under Section 4d of the Commodity Exchange Act [7 U.S.C. §6d], it is unlawful for anyone to act as a futures commission merchant or introducing broker without being registered in that capacity under the Act. Under Section 4m of the Commodity Exchange Act [7 U.S.C. §6m], it is unlawful for a commodity trading advisor or commodity pool operator to make use of the mails or any means or instrumentality of interstate commerce in connection with his business as a commodity trading advisor or commodity pool operator without being registered in the appropriate capacity under the Act, except that a commodity trading advisor who, during the course of the preceding 12 months, has not furnished commodity trading advice to more than 15 persons and does not hold himself out generally to the public as a commodity trading advisor, need not register. Under Section 4s of the Commodity Exchange Act [7 U.S.C. §6s], it is unlawful for anyone to act as a swap dealer or major swap participant without being registered in that capacity under the Act. Under Section 19 of the Commodity Exchange Act [7 U.S.C. §23] and Section 31.5 of the CFTC's regulations, it is unlawful for anyone to act as a leverage transaction merchant without being registered in that capacity under the Act.

The information requested in Form 7-R is designed to assist NFA and the CFTC, as appropriate, in determining whether the application for registration should be granted or denied and to maintain the accuracy of registration files. The information in Form 7-W is designed to assist NFA and the CFTC in determining whether it would be contrary to the requirements of the Commodity Exchange Act, or any rule, regulation or order thereunder, or the public interest to permit withdrawal from registration.

The information requested in Form 8-R and on the fingerprint card will be used by the CFTC or NFA, as appropriate, as a basis for initiating an inquiry into the individual's fitness to be an associated person, floor broker or floor trader or to be a principal of a futures commission merchant, swap dealer, major swap participant, retail foreign exchange dealer, introducing broker, commodity trading advisor, commodity pool operator, leverage transaction merchant or non-natural person floor trader. Portions of the information requested in Form 8-R will be used by the CFTC and, in appropriate cases, by NFA, to confirm the registration of certain associated persons. The information requested in Form 8-T will be used by the CFTC, and, in appropriate cases, by NFA, to record the registration status of the individual and, in appropriate cases, as a basis for further inquiry into the individual's fitness to remain in business subject to the CFTC's jurisdiction.

# National Futures Association

Firm Application (7R) Filed December 12, 2012

Page 9

**OMB Number** 3038-0072

**NFA ID** 0209452 BARCLAYS BANK PLC

**Submitted By** RUFFINL LANCE RUFFIN

With the exception of the social security number, all information in Forms 8-R and 8-T must be furnished. Disclosure of the social security number is voluntary. Disclosure of the Federal employer identification number is voluntary. The social security number and the Federal employer identification number are sought pursuant to the Debt Collection Improvement Act of 1996. Under the Debt Collection Improvement Act, a social security number or a taxpayer identifying number furnished to the CFTC as part of the registration process can be used for purposes of collecting and reporting on any debt owed to the U.S. Government, including civil monetary penalties. The furnishing of a social security number or Federal employer identification number, however, assists the CFTC and NFA in identifying individuals and firms and therefore expedites the processing of those forms.

The failure by an applicant, registrant or principal to timely file a properly completed Form 7-R and all other related required filings may result in the denial of an application for registration or withdrawal thereof or, in the case of an annual records maintenance fee, treating the registrant as having petitioned for withdrawal. Failure by an applicant, registrant or principal to timely file or cause to be filed a properly completed Form 8-R or 8-T, any other required related filings, or a fingerprint card may result in the lapse, denial, suspension or revocation of registration, withdrawal of the application or other enforcement or disciplinary action by the CFTC or NFA.

With the exception of the fingerprint card, any information contained in the Personal Information Section and any information contained in Matter Information pages related to the Disciplinary Information Sections on Form 8-R and on Form 8-T or Item 7 on Form 8-W, the Forms 7-R, 7-W, 8-R and 8-T are considered by the CFTC to be public records and will be available for inspection by any person. Copies will be maintained by National Futures Association, Registration Department, Suite 1800, 300 S. Riverside Plaza, Chicago, IL 60606-6615. Further, the CFTC or NFA may disclose the fingerprint card and any other information described above to third parties pursuant to routine uses which the CFTC has published in the Federal Register or as otherwise authorized under the Privacy Act, [5 U.S.C. §552a], and the Commodity Exchange Act. Disclosure of such information may be made by the CFTC as follows: (1) in connection with administrative proceedings or matters in litigation; (2) in connection with investigations; (3) where the information is furnished to regulatory, self-regulatory and law enforcement or other governmental agencies to assist them in meeting responsibilities assigned to them by law or made available to any member of Congress who is acting in his or her capacity as a member of Congress; (4) where disclosure is required under the Freedom of Information Act [5 U.S.C. §552]; (5) in connection with an employer's hiring or retention of an employee; (6) in connection with the verification of information submitted for sponsorship purposes; (7) in other circumstances in which the withholding of such information appears unwarranted; and (8) in connection with legally required or authorized reports. Disclosure may be made by NFA in accordance with rules approved by the CFTC.

If an individual believes that the placing in the CFTC's or NFA's public files of any of the information contained in the Personal Information Section or in Matter Information pages related

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

to Disciplinary Information on Form 8-R and on Form 8-T or Item 7 on Form 8-W, or on the fingerprint card would constitute an unwarranted invasion of his personal privacy, the individual may petition the CFTC, pursuant to 17 CFR 145.9, to treat such information as confidential in response to requests under the Freedom of Information Act (FOIA) [5 U.S.C. §552]. The CFTC will make no determination as to confidential treatment of information submitted unless and until the information is the subject of an FOIA request. The filing of a petition for confidential treatment, however, does not guarantee that the information will be treated confidentially in response to an FOIA request.

Forms which have not been prepared and executed in compliance with applicable requirements may not be acceptable for filing. Acceptance of this form shall not constitute any finding that the information is true, current or complete. Misstatements or omissions of fact may constitute federal criminal violations [7 U.S.C. §13 and 18 U.S.C. §1001] or grounds for disqualification from registration.

This notice is provided in accordance with the requirements of the Privacy Act [5 U.S.C. §552a(e)(3)] and summarizes some of an individual's rights under the Privacy Act [5 U.S.C. §552a] and the Freedom of Information Act [5 U.S.C. §552]. Individuals desiring further information should consult the CFTC's regulations under the Privacy Act, 17 CFR Part 146, and under the Freedom of Information Act, 17 CFR Part 145, and the CFTC's annual notice, published in the Federal Register, pursuant to the Privacy Act, of the existence and character of each system of records maintained by the CFTC.

You are not required to provide the information requested on a form subject to the Paperwork Reduction Act unless the form displays a valid OMB Control Number.

The time needed to complete and file Form 7-R, Form 3-R, Form 7-W, Form 8-R and Form 8-T and Form 8-W may vary depending upon individual circumstances. The estimated average times are:

Form 7-R

FCM 0.5 hours

SD 1.0 hours

MSP 1.0 hours

RFED 0.5 hours

IB 0.4 hours

CPO 0.4 hours

CTA 0.4 hours

FT 0.5 hours

Form 3-R 0.1 hours

Form 7-W 0.1 hours

Form 8-R 0.8 hours

Form 8-T 0.2 hours

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

Form 8-W 0.1 hours.

# National Futures Association

Firm Application (7R) Filed December 12, 2012

Page 12

OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

## Registration Categories

NFA MEMBER

SWAP DEALER

## Membership Information

Not applicable.

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

## Business Information

| Business Address | 1 CHURCHILL PLACE CANARY WHARF LONDON E14 5HP UNITED KINGDOM |
| --- | --- |

Phone Number 44 (0) 20 7116 1000

Fax Number Not provided.

E-mail Address Not provided.

Website / URL WWW.BARCLAYS.COM

Federal EIN Not provided.

CRD ID Not provided.

Form of Organization OTHER

Location UNITED KINGDOM

Other Names BARCLAYS DE ZOETE WEDD FUTURES LIMITED
ALIAS

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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**OMB Number** 3038-0072

**NFA ID** 0209452 BARCLAYS BANK PLC

**Submitted By** RUFFINL LANCE RUFFIN

## Location of Business Records

### Business Records Address

1 CHURCHILL PLACE  
LONDON E14 5HP  
UNITED KINGDOM

### U.S. Address for Production of Business Records

BARCLAYS CAPITAL INC.  
745 7TH AVENUE  
NEW YORK, NY 10019  
UNITED STATES

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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Submitted By RUFFINL LANCE RUFFIN

## Holding Company Information

None.

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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Submitted By RUFFINL LANCE RUFFIN

## Regulator Information

### Non-U.S. Regulator(s) During The Past Five Years

AUSTRALIAN SECURITIES EXCHANGE
AUSTRIAN FINANCIAL MARKETS SUPERVISORY AUTHORITY (FMA)
FEDERAL MINISTRY FOR ECONOMY, FAMILIES AND YOUTH (BMWFJ)
EURONEXT (BRUSSELS)
COMMISSION BANCAIRE FINANCIERE ET DES ASSURANCES (CBFA)
BULGARIAN NATIONAL BANK
CAYMAN ISLANDS MONETARY AUTHORITY
CENTRAL BANK OF CYPRUS
CYPRIOT MINISTRY OF FINANCE
CYPRUS SECURITIES AND EXCHANGES COMMISSION
CZECH NATIONAL BANK
DANISH FINANCIAL SERVICES AUTHORITY
ESTONIAN FINANCIAL SUPERVISION AUTHORITY
FINNISH FINANCIAL SUPERVISORY AUTHORITY
BANQUE DE FRANCE
AUTORITÉ DE CONTRÔLE PRUDENTIEL
AUTORITÉ DES MARCHÉS FINANCIERS ( A.M.F. )
UNDESANSTALT FÜR FINANZDIENSTLEISTUNGSAUFSICHT (BAFIN)
BUNDESBANK
ADDITIONAL NON-US REGULATORS WILL BE PROVIDED VIA MAIL.

### U.S. Regulator(s)

THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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Submitted By RUFFINL LANCE RUFFIN

## Disciplinary Information

### Criminal Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

THE FIRM OR SOLE PROPRIETOR MUST ANSWER "YES" TO THE QUESTIONS ON THIS PAGE EVEN IF:

- ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
- THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR
- A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR
- THE RECORD WAS EXPUNGED OR SEALED; OR
- A PARDON WAS GRANTED.

THE FIRM OR SOLE PROPRIETOR MAY ANSWER "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW.

A. Has the firm or sole proprietor ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any domestic, foreign or military court? NO

B. Has the firm or sole proprietor ever pled guilty to or been convicted or found guilty of any misdemeanor in any domestic, foreign or military court which involves: NO

- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986; or
- violation of sections 152, 1341, 1342 or 1343 or chapters 25, 47, 95 or 96 of the United States Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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securities?

C. Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

YES

For any "Yes" answer to the questions above, has the firm or sole proprietor previously provided NFA or the CFTC all supplemental documentation for all matters requiring a "Yes" answer?

NO

# National Futures Association

Firm Application (7R) Filed December 12, 2012

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Submitted By RUFFINL LANCE RUFFIN

## Regulatory Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

D. In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been permanently or temporarily enjoined after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:

YES

- any transaction in or advice concerning futures, options, leverage transactions or securities; or
- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property?

E. In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been found after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

YES

- have violated any provision of any investment-related statute or regulation; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person?

F. Has the firm or sole proprietor ever been debarred by any agency of the United States from contracting with the United States?

NO

G. Has the firm or sole proprietor ever been the subject of any order issued by or a party to any agreement with a domestic or foreign regulatory authority (other than the CFTC), including but not limited to a licensing authority, or self-regulatory organization (other than NFA or a domestic futures exchange) that prevented or restricted the firm or sole proprietor's ability to engage in any business in the financial services industry?

NO

# National Futures Association

Firm Application (7R) Filed December 12, 2012

Page 20

OMB Number 3038-0072

NFA ID 0209452 BARCLAYS BANK PLC

Submitted By RUFFINL LANCE RUFFIN

H. Are any of the orders or other agreements described in Question G currently in effect against the firm or sole proprietor?

YES

I. Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

YES

For any "Yes" answer to the questions above, has the firm or sole proprietor previously provided NFA or the CFTC all supplemental documentation for all matters requiring a "Yes" answer?

NO

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behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

### FIRM REGULATORY MATTER INFORMATION FILED

**MATTER NAME:** INVESTIGATIONS INTO CERTAIN AGREEMENTS

**MATTER DETAIL:** THIS IS AN UPDATE TO THE MATTER TITLED "2012 FSA AND SFO" THE FCA HAS INVESTIGATED CERTAIN AGREEMENTS, INCLUDING TWO ADVISORY SERVICES AGREEMENTS ENTERED INTO BY BBPLC WITH QATAR HOLDING LLC (QATAR HOLDING) IN JUNE AND OCTOBER 2008 RESPECTIVELY, AND WHETHER THESE MAY HAVE RELATED TO BPLC'S CAPITAL RAISINGS IN JUNE AND NOVEMBER 2008. THE FCA ISSUED WARNING NOTICES (WARNING NOTICES) AGAINST BPLC AND BBPLC IN SEPTEMBER 2013. THE EXISTENCE OF THE ADVISORY SERVICES AGREEMENT ENTERED INTO IN JUNE 2008 WAS DISCLOSED BUT THE ENTRY INTO THE ADVISORY SERVICES AGREEMENT IN OCTOBER 2008 AND THE FEES PAYABLE UNDER BOTH AGREEMENTS, WHICH AMOUNT TO A TOTAL OF £322M PAYABLE OVER A PERIOD OF FIVE YEARS, WERE NOT DISCLOSED IN THE ANNOUNCEMENTS OR PUBLIC DOCUMENTS RELATING TO THE CAPITAL RAISINGS IN JUNE AND NOVEMBER 2008. WHILE THE WARNING NOTICES CONSIDER THAT BPLC AND BBPLC BELIEVED AT THE TIME THAT THERE SHOULD BE AT LEAST SOME UNSPECIFIED AND UNDETERMINED VALUE TO BE DERIVED FROM THE AGREEMENTS, THEY STATE THAT THE PRIMARY PURPOSE OF THE AGREEMENTS WAS NOT TO OBTAIN ADVISORY SERVICES BUT TO MAKE ADDITIONAL PAYMENTS, WHICH WOULD NOT BE DISCLOSED, FOR THE QATARI PARTICIPATION IN THE CAPITAL RAISINGS. THE WARNING NOTICES CONCLUDE THAT BPLC AND BBPLC WERE IN BREACH OF CERTAIN DISCLOSURE-RELATED LISTING RULES AND BPLC WAS ALSO IN BREACH OF LISTING PRINCIPLE 3 (THE REQUIREMENT TO ACT WITH INTEGRITY TOWARDS HOLDERS AND POTENTIAL HOLDERS OF THE COMPANY'S SHARES). IN THIS REGARD, THE FCA CONSIDERS THAT BPLC AND BBPLC ACTED RECKLESSLY. THE FINANCIAL PENALTY IN THE WARNING NOTICES AGAINST THE GROUP IS £50M. BPLC AND BBPLC CONTINUE TO CONTEST THE FINDINGS. THE FCA PROCEEDINGS ARE NOW SUBJECT TO A STAY PENDING PROGRESS IN AN INVESTIGATION BY THE SFO'S FRAUD OFFICE INTO THE SAME AGREEMENTS. THE SFO'S INVESTIGATION IS AT AN EARLIER STAGE AND THE GROUP HAS RECEIVED AND HAS CONTINUED TO RESPOND TO REQUESTS FOR FURTHER INFORMATION. THE DOJ AND THE SEC ARE UNDERTAKING AN INVESTIGATION INTO WHETHER THE GROUP'S RELATIONSHIPS WITH THIRD PARTIES WHO ASSIST BPLC TO WIN OR RETAIN BUSINESS ARE COMPLIANT WITH THE UNITED STATES FOREIGN CORRUPT PRACTICES ACT. THEY ARE ALSO INVESTIGATING THE AGREEMENTS REFERRED TO ABOVE INCLUDING THE TWO ADVISORY SERVICES AGREEMENTS. THE US FEDERAL RESERVE HAS REQUESTED TO BE KEPT INFORMED. CREDIT DEFAULT SWAP (CDS) ANTITRUST INVESTIGATIONS BOTH THE COMMISSION AND THE DOJ-AD HAVE COMMENCED INVESTIGATIONS IN THE CDS MARKET (IN 2011 AND 2009, RESPECTIVELY). IN JULY 2013 THE COMMISSION ADDRESSED A STATEMENT OF OBJECTIONS TO BBPLC AND 12 OTHER BANKS, MARKIT AND ISDA. THE CASE RELATES TO CONCERNS THAT CERTAIN BANKS TOOK COLLECTIVE ACTION TO DELAY AND PREVENT THE EMERGENCE OF EXCHANGE TRADED CREDIT DERIVATIVE PRODUCTS. IF THE COMMISSION DOES REACH A DECISION IN THIS MATTER IT HAS INDICATED THAT IT INTENDS TO IMPOSE SANCTIONS. THE COMMISSION'S SANCTIONS CAN INCLUDE FINES. THE DOJ-AD'S INVESTIGATION IS A CIVIL INVESTIGATION AND RELATES TO

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SIMILAR ISSUES. PROPOSED CLASS ACTIONS ALLEGING SIMILAR ISSUES HAVE ALSO BEEN FILED IN THE US. THE TIMING OF THESE CASES IS UNCERTAIN.

**FILED BY:** PODVESKERD1

**FILED ON:** 4/30/2014 1:37:39 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: U. K. FINANCIAL CONDUCT AUTHORITY (FCA)

MATTER DETAIL: THE FCA IMPOSED A FINANCIAL PENALTY OF £26,033,500 ON BBPLC ($43, 819,587.20) BASED ON EXCHANGE RATE GPB 1.6832 AS OF MAY 23, 2014. THE FINANCIAL PENALTY REFLECTED A 30% DISCOUNT FOR EARLY SETTLEMENT. ACCORDING TO THE FCA'S FINAL NOTICE, BETWEEN 7 JUNE 2004 AND 21 MARCH 2013 ("RELEVANT PERIOD"), BARCLAYS BREACHED PRINCIPLE 8 BY FAILING TO ADEQUATELY MANAGE CERTAIN CONFLICTS OF INTEREST BETWEEN ITSELF AND ITS CUSTOMERS. IN PARTICULAR, BARCLAYS FAILED TO ADEQUATELY MANAGE THE INHERENT CONFLICT OF INTEREST THAT EXISTED FROM (I) BARCLAYS PARTICIPATING IN THE GOLD FIXING AND CONTRIBUTING TO THE PRICE FIXED DURING THE GOLD FIXING, WHILE AT THE SAME TIME ALSO (II) SELLING TO CUSTOMERS OPTIONS PRODUCTS THAT REFERENCED, AND WERE DEPENDENT ON, THE PRICE OF GOLD FIXED IN THE GOLD FIXING, BY NOT PUTTING IN PLACE POLICIES, PROCEDURES, SYSTEMS AND TRAINING IN RELATION TO THE GOLD FIXING WHICH WOULD HAVE ADEQUATELY ENABLED ITS STAFF TO PROPERLY IDENTIFY AND MANAGE THE RISKS ARISING FROM THIS INHERENT CONFLICT OF INTEREST. IN ADDITION, ACCORDING TO THE FCA'S FINAL NOTICE BARCLAYS BREACHED PRINCIPLE 3 BY FAILING TO TAKE REASONABLE CARE TO ORGANISE AND CONTROL ITS AFFAIRS RESPONSIBLY AND EFFECTIVELY WITH ADEQUATE RISK MANAGEMENT SYSTEMS IN RELATION TO THE LONDON GOLD FIXING PROCESS: (I) DURING THE RELEVANT PERIOD BARCLAYS FAILED TO CREATE OR IMPLEMENT ADEQUATE POLICIES OR PROCEDURES TO PROPERLY MANAGE THE WAY IN WHICH BARCLAYS' TRADERS PARTICIPATED IN THE GOLD FIXING; (II) DURING THE RELEVANT PERIOD BARCLAYS FAILED TO PROVIDE ADEQUATE SPECIFIC TRAINING TO PRECIOUS METALS DESK STAFF IN RELATION TO THEIR PARTICIPATION IN THE GOLD FIXING; AND (III) DURING THE RELEVANT PERIOD BARCLAYS FAILED TO CREATE SYSTEMS AND REPORTS THAT ALLOWED FOR ADEQUATE MONITORING OF ITS TRADERS' ACTIVITY IN CONNECTION WITH THE GOLD FIXING. THE FCA DETERMINED THAT BARCLAYS' CONDUCT WAS NOT DELIBERATE OR RECKLESS. BELOW IS THE LINK TO FINAL NOTICE FROM THE FCA'S WEBSITE: HTTP://WWW.FCA.ORG.UK/YOUR-FCA/DOCUMENTS/FINAL-NOTICES/2014/BARCLAYS-BANK-PLC.

FILED BY: COSTAM

FILED ON: 6/21/2014 1:57:38 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

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certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

**FIRST NAME:** JUDITH
**LAST NAME:** ROMAINE
**TITLE:**
**STREET ADDRESS 1:** 745 7TH AVENUE
**STREET ADDRESS 2:**
**STREET ADDRESS 3:**
**CITY:** NEW YORK
**STATE:** NEW YORK
**PROVINCE:**
**COUNTRY:** UNITED STATES
**ZIP CODE:** 10019
**PHONE NUMBER:** 212-526-4182
**FAX NUMBER:**
**E-MAIL ADDRESS:** JUDITH.ROMAINE@BARCLAYS.COM
**FILED BY:** COSTAM
**FILED ON:** 7/30/2014 3:36:34 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the

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answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

### FIRM REGULATORY MATTER INFORMATION FILED

**MATTER NAME:** INVESTIGATIONS INTO LIBOR, ISDAFIX, OTHER BENCHMARKS AND FOREIGN EXCHANGE RATES

**MATTER DETAIL:** THIS IS AN UPDATE TO THE PREVIOUSLY DISCLOSED MATTER TITLED "INVESTIGATIONS INTO LIBOR, ISDAFIX, OTHER BENCHMARKS AND FOREIGN EXCHANGE RATES." REGULATORS AND LAW ENFORCEMENT AGENCIES FROM A NUMBER OF GOVERNMENTS HAVE BEEN CONDUCTING INVESTIGATIONS RELATING TO BBPLC'S INVOLVEMENT IN MANIPULATING FINANCIAL BENCHMARKS AND FOREIGN EXCHANGE RATES. BBPLC HAS REACHED SETTLEMENTS WITH THE RELEVANT LAW ENFORCEMENT AGENCY OR REGULATOR IN CERTAIN INVESTIGATIONS, BUT OTHERS, INCLUDING THOSE SET OUT IN MORE DETAIL BELOW, REMAIN PENDING. PLEASE NOTE, THERE ARE FOUR (4) ADDITIONAL PENDING INVESTIGATIONS, DISCLOSED ON APRIL 30TH, 2014, THAT DO NOT HAVE APPLICABLE UPDATES AT THIS TIME. NON-PROSECUTION AGREEMENT (NPA) IN ANTICIPATION OF THE EXPIRY OF THE NPA'S TWO-YEAR PERIOD, IN JUNE 2014 BARCLAYS AND THE DOJ FRAUD SECTION (DOJ-FS) ENTERED INTO A LETTER AGREEMENT WHICH: (I) GIVES DOJ-FS UNTIL JUNE 27TH, 2015 TO MAKE A DETERMINATION UNDER THE NPA SOLELY AS TO WHETHER ANY OF BARCLAYS TRADING ACTIVITIES IN THE FOREIGN EXCHANGE MARKET DURING THE TWO-YEAR PERIOD FROM JUNE 26TH, 2012 CONSTITUTED THE COMMISSION OF A 'UNITED STATES CRIME'; AND (II) WITH RESPECT TO THE ONGOING INVESTIGATION OF THOSE TRADING ACTIVITIES BY DOJ-FS AND THE DOJ ANTITRUST DIVISION (DOJ-AD), EXTENDS BARCLAYS' OBLIGATION TO DISCLOSE NON-PRIVILEGED INFORMATION IN RESPONSE TO ENQUIRIES OF THE DOJ-FS TO JUNE 27TH, 2015. THE TWO-YEAR PERIOD UNDER THE NPA HAS OTHERWISE EXPIRED. PRECIOUS METALS INVESTIGATION BBPLC HAS BEEN PROVIDING INFORMATION TO THE DOJ IN CONNECTION WITH THE DOJ'S INVESTIGATION INTO PRECIOUS METALS AND PRECIOUS METALS-BASED FINANCIAL INSTRUMENTS. FOREIGN EXCHANGE TRADING INVESTIGATION VARIOUS REGULATORY AND ENFORCEMENT AUTHORITIES, INCLUDING THE FCA, THE EUROPEAN COMMISSION, THE CFTC, THE DOJ-FS, THE DOJ-AD, THE SEC, AND THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ARE INVESTIGATING A RANGE OF ISSUES ASSOCIATED WITH FOREIGN EXCHANGE SALES AND TRADING, INCLUDING ELECTRONIC TRADING. THE DOJ-AD IS ALSO INVESTIGATING POTENTIAL VIOLATIONS OF US ANTI-TRUST LAWS. CERTAIN INVESTIGATIONS INVOLVE MULTIPLE MARKET PARTICIPANTS IN VARIOUS COUNTRIES. BBPLC HAS RECEIVED ENQUIRIES FROM CERTAIN AUTHORITIES RELATED TO THEIR PARTICULAR INVESTIGATIONS, AND FROM OTHER REGULATORS INTERESTED IN FOREIGN EXCHANGE ISSUES. BARCLAYS IS REVIEWING ITS FOREIGN EXCHANGE TRADING, COVERING A SEVERAL-YEAR PERIOD, AND IS CONTINUING TO COOPERATE WITH THE RELEVANT AUTHORITIES IN THEIR INVESTIGATIONS. IN NOVEMBER 2014, THE FCA AND THE CFTC ENTERED INTO SETTLEMENT AGREEMENTS WITH SEVERAL BANKS REGARDING FOREIGN EXCHANGE TRADING. BARCLAYS ANNOUNCED THAT IT HAD CONSIDERED ENTERING INTO THE SETTLEMENT. AFTER DISCUSSIONS WITH OTHER REGULATORS AND AUTHORITIES, IT CONCLUDED THAT IT WAS IN BARCLAYS' INTEREST TO SEEK A MORE COORDINATED SETTLEMENT, AND THAT IT WOULD CONTINUE TO ENGAGE WITH THESE REGULATORS AND AUTHORITIES, INCLUDING THE FCA AND CFTC, WITH THE OBJECTIVE OF ACHIEVING A RESOLUTION IN DUE

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COURSE. IN DECEMBER 2014, THE HONG KONG MONETARY AUTHORITY (HKMA) ANNOUNCED THE OUTCOME OF ITS INVESTIGATION INTO THE FOREIGN EXCHANGE OPERATIONS OF TEN BANKS IN HONG KONG, INCLUDING BBPLC. IN RESPECT TO BBPLC, THE HKMA SAID THAT ITS INVESTIGATION REVEALED CERTAIN CONTROL DEFICIENCIES WHICH REQUIRED BARCLAYS TO TAKE CERTAIN REMEDIAL STEPS, BUT ALSO NOTED THAT, IN RECENT YEARS, BBPLC HAS MADE ENHANCEMENTS IN LINE WITH INTERNATIONAL TRENDS.

**FILED BY:** RYANN1

**FILED ON:** 5/18/2015 3:48:07 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: CREDIT DEFAULT SWAP (CDS) ANTITRUST INVESTIGATIONS

MATTER DETAIL: THE EUROPEAN COMMISSION AND THE DOJ-AD COMMENCED INVESTIGATIONS IN THE CDS MARKET, IN 2011 AND 2009, RESPECTIVELY. IN JULY 2013 THE EUROPEAN COMMISSION ADDRESSED A STATEMENT OF OBJECTIONS TO BBPLC, TWELVE OTHER BANKS, MARKIT LTD. AND ISDA. THE CASE RELATES TO CONCERNS THAT CERTAIN BANKS TOOK COLLECTIVE ACTION TO DELAY AND PREVENT THE EMERGENCE OF EXCHANGE TRADED CREDIT DERIVATIVE PRODUCTS. IF THE EUROPEAN COMMISSION DOES REACH A DECISION IN THIS MATTER IT HAS INDICATED THAT IT INTENDS TO IMPOSE SANCTIONS. THE EUROPEAN COMMISSION'S SANCTIONS CAN INCLUDE FINES. THE DOJ-AD'S INVESTIGATION IS A CIVIL INVESTIGATION AND RELATES TO SIMILAR ISSUES. BARCLAYS IS ALSO CONTESTING A PROPOSED, CONSOLIDATED CLASS ACTION ALLEGING SIMILAR ISSUES THAT HAS BEEN FILED IN THE US. THE CASE IS ONGOING.

FILED BY: RYANN1

FILED ON: 5/18/2015 3:50:09 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: TAIWAN FINANCIAL SUPERVISORY COMMISSION (FSC) SANCTION 2014

MATTER DETAIL: ON DECEMBER 16TH 2014, THE FSC IMPOSED SANCTIONS ON BBLPC, TAIPEI BRANCH, INCLUDING TOTAL FINES OF $389,749.68 USD (EQUIVALENT), FOR VIOLATIONS OF CROSS BORDER SELLING REGULATIONS AND A LACK OF ADEQUATE SYSTEMS AND CONTROLS. THE BRANCH WAS ALSO PROHIBITED FROM APPLYING FOR ANY NEW BUSINESS LICENCES FOR A PERIOD OF 12 MONTHS. THE FSC FOUND THAT THE BRANCH AND ITS FACILITIES WERE USED BY CERTAIN HONG KONG SALES STAFF, ON A FLY-IN BASIS, TO TRANSACT BUSINESS WITH ONSHORE CLIENTS IN CIRCUMSTANCES WHERE THOSE OFFSHORE STAFF WERE NOT LICENSED TO CONDUCT SUCH ACTIVITY IN TAIWAN. BBPLC WAS FINED 10 MILLION TWD ($324,791.40 USD). THE FSC ALSO FOUND THAT CERTAIN ACTIVITIES OF THE BRANCH'S MACRO SALES DESK EXCEEDED THE SCOPE OF THE BRANCH'S LICENCE IN TAIWAN. SALES STAFF WERE FOUND TO HAVE PASSED QUOTES, ORDERS AND RECAPS BETWEEN OFFSHORE TRADERS AND ONSHORE CLIENTS RELATING TO OFFSHORE FIXED INCOME PRODUCTS AND OFFSHORE DERIVATIVES. THE BRANCH IS LICENSED TO CONDUCT LIMITED ACTIVITIES, WHICH DO NOT INCLUDE ACTIVITIES RELATING TO OFFSHORE FIXED INCOME PRODUCTS. LASTLY, THE FSC FOUND THAT THE BRANCH'S ACCOUNTING OF CERTAIN SALARY COSTS ASSOCIATED WITH A WHOLLY OWNED SUBSIDIARY, BARCLAYS CAPITAL SECURITIES TAIWAN LIMITED, WAS UNSATISFACTORY. THE FSC IMPOSED A FINE OF 2 MILLION TWD ($64,958.28 USD).

FILED BY: RYANN1

FILED ON: 5/18/2015 3:54:18 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and

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acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM FINANCIAL MATTER INFORMATION FILED

MATTER NAME: ADVERSARY ACTIONS

MATTER DETAIL: THIS IS AN UPDATE TO THE MATTER TITLED "ADVERSARY ACTIONS." SINCE SEPTEMBER 2009, BARCLAYS HAS BEEN ENGAGED IN LITIGATION WITH VARIOUS ENTITIES THAT HAVE SOUGHT TO CHALLENGE CERTAIN ASPECTS OF THE TRANSACTION PURSUANT TO WHICH BARCLAYS ACQUIRED MOST OF THE ASSETS OF LEHMAN BROTHERS INC. (LBI) IN SEPTEMBER 2008, AS WELL AS THE COURT ORDER (ORDER) APPROVING THE SALE (SALE). THE ORDER WAS UPHELD BY THE COURTS AND IS NO LONGER BEING CHALLENGED. ON AUGUST 5TH, 2014, THE SECOND CIRCUIT AFFIRMED THE SDNY'S RULINGS IN FAVOR OF BARCLAYS ON CERTAIN CLAIMS WITH RESPECT TO ITS RIGHTS OVER ASSETS FROM THE SALE. ON OCTOBER 1ST, 2014, THE TRUSTEE FOR LBI FILED A MOTION WITH THE SDNY TO CONFIRM THE SCOPE OF THE SDNY'S JUDGEMENT REGARDING THE AMOUNT BARCLAYS IS ENTITLED TO RECEIVE. ON DECEMBER 15TH, 2014, THE TRUSTEE REQUESTED THAT THE US SUPREME COURT REVIEW THE RULINGS OF THE SDNY AND THE SECOND CIRCUIT. ON APRIL 22ND, 2015, THE SDNY RULED IN BARCLAYS' FAVOR BY HOLDING THAT BARCLAYS IS ENTITLED TO RECEIVE ALL OF THE ASSETS CLAIMED BY BARCLAYS. ON MAY 4TH, 2015, THE US SUPREME COURT DENIED THE TRUSTEE'S REQUEST THAT THE SUPREME COURT REVIEW THE RULINGS OF THE SDNY AND THE SECOND CIRCUIT.

FILED BY: RYANN1

FILED ON: 5/18/2015 4:00:52 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1033&formSeqNum=896749&appendChangeText=&changeTypeDesc=FIRM+FINANCIAL+MATTER+INFORMATION+FILED&p... 1/2

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or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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10/12/21, 3:34 PM

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM CRIMINAL MATTER INFORMATION FILED

MATTER NAME: 2012 BBPLC - INDIA BRANCH

MATTER DETAIL: THIS IS AN UPDATE TO THE MATTER TITLED "2012 BBPLC - INDIA BRANCH." THE LABOUR INSPECTOR IN NEW DELHI FILED THREE CASES IN FEBRUARY 2012 IN THE COURT OF METROPOLITAN MAGISTRATE, DELHI AGAINST BARCLAYS BANK PLC FOR ALLEGED CONTRAVENTION BY THE BANK OF THE (INDIAN) CONTRACT LABOUR (REGULATION AND ABOLITION) ACT (CLRA), INVOKING SECTIONS 23 AND 24 OF CLRA, WHICH PROVIDE FOR PUNISHMENT AND CONTRAVENTION OF ANY RULES PROHIBITING, RESTRICTING OR REGULATING THE EMPLOYMENT OF CONTRACT LABOUR, OR CONTRIVING ANY CONDITION OF LICENSE GRANTED UNDER CLRA. CONSIDERING THE MINOR NATURE OF THE OFFENCES AND THE TECHNICAL NATURE OF THE ALLEGED BREACHES, THE BANK PAID FINES OF 8,000 INR (AROUND $125 USD) ON OCTOBER 16TH, 2012 IN THE FIRST CASE AND ON NOVEMBER 30TH, 2012 FOR EACH OF THE OTHER TWO CASES. ALL THREE CASES WERE DISPOSED OF ACCORDINGLY. RETAIL BANK - DEBT COLLECTIONS TELE-CALLING. A CRIMINAL COMPLAINT WAS FILED BY MR. SHATRUJIT KAPOOR BEFORE THE COURT OF METROPOLITAN MAGISTRATE, PANCHKULA IN 2010 ALLEGING AN OFFENCE BY BARCLAYS BANK PLC AND ITS OFFICERS IN INDIA UNDER SECTION 66A OF THE INFORMATION TECHNOLOGY ACT 2000. THE COMPLAINANT ALLEGED THAT DESPITE NOT BEING A CUSTOMER OF THE BANK, HE RECEIVED DEBT COLLECTION CALLS BY OR ON BEHALF OF THE BANK OVER AN EIGHTEEN MONTH PERIOD. THE BANK SETTLED THE CASE AMICABLY WITH THE COMPLAINANT, AND CONSEQUENTLY THE COMPLAINT AND THE RELATED PROCEEDINGS WERE QUASHED BY THE HIGH COURT ON FEBRUARY 14TH, 2013.

FILED BY: RYANN1

FILED ON: 5/26/2015 12:11:20 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1031&formSeqNum=897793&appendChangeText=&changeTypeDesc=FIRM+CRIMINAL+MATTER+INFORMATION+FILED&pr... 1/2

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applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

### FIRM REGULATORY MATTER INFORMATION FILED

**MATTER NAME:** INVESTIGATIONS INTO LIBOR, ISDAFIX, OTHER BENCHMARKS AND FOREIGN EXCHANGE RATES

**MATTER DETAIL:** UPDATE TO PREVIOUSLY DISCLOSED MATTER ("INVESTIGATIONS INTO LIBOR, ISDAFIX, OTHER BENCHMARKS AND FOREIGN EXCHANGE RATES"). FX TRADING INVESTIGATION: ON MAY 20, 2015, THE US DEPARTMENT OF JUSTICE (THE "DOJ") FILED A CRIMINAL INFORMATION (THE "INFORMATION") IN THE US DISTRICT COURT FOR THE DISTRICT OF CT ("DISTRICT COURT") AGAINST BARCLAYS PLC ("BARCLAYS"). THE INFORMATION CHARGED BARCLAYS WITH PARTICIPATING IN A CONSPIRACY TO FIX, STABILIZE, MAINTAIN, OR ALTER THE PRICE OF, AND RIG BIDS AND OFFERS FOR, THE EURO/US DOLLAR ("EUR/USD") CURRENCY PAIR EXCHANGED IN THE FOREIGN CURRENCY EXCHANGE SPOT MARKET BY AGREEING TO ELIMINATE COMPETITION IN THE PURCHASE AND SALE OF THE EUR/USD CURRENCY PAIR IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. § 1. THIS CASE IS CAPTIONED UNITED STATES OF AMERICA V. BARCLAYS PLC. UNDER THE PLEA AGREEMENT WITH THE DOJ (THE "PLEA AGREEMENT"), BARCLAYS PLED GUILTY TO THE CHARGE IN THE INFORMATION AND AGREED TO PAY $710M TO THE DOJ. $650M IS ATTRIBUTABLE TO THE CHARGE IN THE INFORMATION. THE REMAINING $60M IS ATTRIBUTABLE TO A FINDING BY THE DOJ THAT THE CONDUCT DESCRIBED IN THE PLEA AGREEMENT CONTINUED AFTER BARCLAYS BANK PLC ("BBPLC") AND ITS PARENT, SUBSIDIARIES AND AFFILIATES ENTERED INTO A NON-PROSECUTION AGREEMENT WITH THE DOJ ON JUNE 26, 2012 RELATED TO SUBMISSIONS OF BENCHMARK INTEREST RATES, INCLUDING THE LONDON INTERBANK OFFERED RATE (KNOWN AS LIBOR). THE PLEA AGREEMENT ALSO REQUIRED BARCLAYS TO UNDERTAKE CERTAIN REMEDIAL ACTIONS TO ADDRESS THE CONDUCT DESCRIBED IN THE PLEA AGREEMENT AND THE ATTACHMENTS THERETO (THE "CONDUCT"). BARCLAYS EXPECTS THAT THE DISTRICT COURT WILL ENTER A JUDGMENT THAT WILL REQUIRE REMEDIES THAT ARE MATERIALLY THE SAME AS SET FORTH IN THE PLEA AGREEMENT. BARCLAYS ALSO ENTERED INTO REGULATORY SETTLEMENTS RELATING TO THE CONDUCT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "FEDERAL RESERVE"), THE CFTC, THE NY STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS") AND THE UK FINANCIAL CONDUCT AUTHORITY (THE "UK FCA"). THE SETTLEMENTS WITH THE FEDERAL RESERVE, CFTC, DFS AND UK FCA REQUIRE BARCLAYS TO PAY $342M, $400M, $485M AND £284.432M ($440.9M), RESPECTIVELY. IN THE AGGREGATE, THE PLEA AGREEMENT AND REGULATORY SETTLEMENTS REQUIRED BARCLAYS TO PAY OVER $2.37BN. THE SETTLEMENT WITH THE DFS, IN THE MATTER OF BARCLAYS BANK PLC, BARCLAYS BANK PLC, NEW YORK BRANCH (THE "DFS ORDER"), INCLUDED SEVERAL FINDINGS OF VIOLATIONS OF NEW YORK STATE BANKING LAW AND REGULATIONS, INCLUDING DFS REGULATION 3 NYCRR § 300.1 (FAILURE TO REPORT IMMEDIATELY UPON THE DISCOVERY OF FRAUD, DISHONESTY, MAKING OF FALSE ENTRIES AND OMISSION OF TRUE ENTRIES, AND OTHER MISCONDUCT IN WHICH AN EMPLOYEE WAS INVOLVED). THE DFS ORDER REQUIRES CONTINUED ENGAGEMENT AND COOPERATION WITH THE INDEPENDENT CONSULTANT, WHO WAS INITIALLY INSTALLED AS A RESULT OF A MEMORANDUM OF UNDERSTANDING ENTERED INTO BETWEEN BBPLC AND THE DFS. THE CONSULTANT WILL OVERSEE, EVALUATE AND PROPOSE CORRECTIVE MEASURES REGARDING, AMONG OTHER THINGS, THE EFFECTIVENESS OF THE BANK'S

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1032&formSeqNum=902346&appendChangeText=&changeTypeDesc=FIRM+REGULATORY+MATTER+INFORMATION+FILE...

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TRADING POLICIES, THE BANK'S COMPLIANCE PROGRAMS AND MANAGEMENT OVERSIGHT OF COMPLIANCE PROGRAM, POLICIES AND PROCEDURES CURRENTLY IN PLACE THAT PERTAIN TO ACTIVITIES CONDUCTED BY OR THROUGH THE NY BRANCH. THE CONSULTANT WILL THEN OVERSEE THE BANK'S IMPLEMENTATION OF THESE CORRECTIVE MEASURES AND SUBMIT PROGRESS REPORTS TO THE DFS. ISDAFIX INVESTIGATION: ON MAY 20, 2015, BARCLAYS, BBPLC AND BARCLAYS CAPITAL INC. (COLLECTIVELY, THE "RESPONDENTS") CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(C)(4)(A) AND 6(D) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS BY THE CFTC, IMPOSING A $115M CIVIL MONEY PENALTY AND ALLEGING THAT FROM AT LEAST AS EARLY AS JANUARY 2007 AND CONTINUING THROUGH JUNE 2012, THE RESPONDENTS, BY AND THROUGH CERTAIN OF THEIR TRADERS IN NY, AT TIMES ATTEMPTED TO MANIPULATE THE US DOLLAR INTERNATIONAL SWAPS AND DERIVATIVES ASSOCIATION FIX ("ISDAFIX").

**FILED BY:** RYANN1

**FILED ON:** 6/19/2015 9:59:20 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM CRIMINAL DISCLOSURE QUESTION C CHANGED

QUESTION: Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

ANSWER: NO

FILED BY: RYANN1

FILED ON: 7/9/2015 2:07:53 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM CRIMINAL SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED DOES NOT APPLY

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | CRIMINAL DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | DOES NOT APPLY |
| FILED BY: | RYANN1 |
| FILED ON: | 7/9/2015 2:07:53 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: MERCED IRRIGATION DISTRICT V. BARCLAYS BANK PLC (CASE NO. 1:15-CV-04878)

MATTER DETAIL: ON JUNE 23, 2015, A CIVIL CLASS ACTION COMPLAINT WAS FILED IN THE U.S. DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK AGAINST BARCLAYS BANK PLC ("BBPLC"), CASE NO. 1:15-CV-04878. THE COMPLAINT WAS FILED BY CALIFORNIA UTILITY COMPANY, MERCED IRRIGATION DISTRICT, ON BEHALF OF ITSELF AND OTHERS SIMILARLY-SITUATED, A PRIVATE, PUTATIVE CLASS OF CONSUMERS ALLEGEDLY HARMED BY BBPLC. THE COMPLAINT ALLEGES THAT BBPLC VIOLATED SECTIONS 1 AND 2 OF THE SHERMAN ANTITRUST ACT, AND SECTION 17200, ET SEQ., OF CALIFORNIA'S BUSINESS AND PROFESSIONS CODE, THROUGH ITS PURPORTED MANIPULATION OF THE ELECTRICITY MARKETS IN AND AROUND CALIFORNIA. THE COMPLAINT ALLEGES THAT BARCLAYS, THROUGH FOUR FORMER ENERGY TRADERS, USED SWAP CONTRACTS TO CONTROL THE ENERGY MARKET AND MANIPULATE ELECTRICITY PRICES. SPECIFICALLY, THE COMPLAINT ASSERTS THAT BBPLC ACQUIRED AND MAINTAINED "MONOPOLY POWER" OVER THE SETTING OF DAILY INDEX PRICES FOR FOUR MAJOR WESTERN U.S. TRADING HUBS BETWEEN NOV. 1, 2006 AND DEC. 31, 2008. ACCORDING TO THE COMPLAINT, THE ALLEGED MANIPULATION COST MARKET PARTICIPANTS AT LEAST $139.3 MILLION, DUE TO PRICE INFLATION CAUSED BY THE MANIPULATIVE SCHEME. THE COMPLAINT DOES NOT ALLEGE COLLUSION WITH OTHER BANKS OR MARKET ACTORS. BBPLC PLANS TO FILE A MOTION TO DISMISS THE COMPLAINT.

FILED BY: RYANN1

FILED ON: 7/23/2015 4:26:10 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1032&formSeqNum=908924&appendChangeText=&changeTypeDesc=FIRM+REGULATORY+MATTER+INFORMATION+FILE...

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acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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10/12/21, 4:07 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED NO

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | NO |
| FILED BY: | HUMAYUNA1 |
| FILED ON: | 1/20/2017 1:08:08 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED NO

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | NO |
| FILED BY: | HUMAYUNA1 |
| FILED ON: | 1/20/2017 1:08:11 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: US DISTRICT COURT CASE NO. 1:16-CV-07057-KAM-RLM

MATTER DETAIL: DATE OF EVENT: DECEMBER 22, 2016. PARTIES: UNITED STATES DISTRICT COURT FOR EASTERN NEW YORK AND BARCLAYS BANK PLC AND ITS UNITED STATES AFFILIATES. CASE NO. 1:16-CV-07057-KAM-RLM. THE COMPLAINT INCLUDES THE FOLLOWING ALLEGATIONS: ON DECEMBER 22, 2016 THE U.S. DEPARTMENT OF JUSTICE (DOJ) FILED A CIVIL COMPLAINT AGAINST BARCLAYS ASSERTING CLAIMS OF FRAUD RELATED TO BARCLAYS' RESIDENTIAL MORTGAGE-BACKED SECURITIES AND ASSOCIATED ACTIVITIES BETWEEN 2005 AND 2007. THE DOJ ASSERTS CLAIMS UNDER THE FEDERAL FINANCIAL INSTITUTIONS REFORM, RECOVERY, AND ENFORCEMENT ACT OF 1989 WHICH ALLOWS THE DOJ TO SEEK CIVIL MONETARY PENALTIES FOR VIOLATIONS OF CERTAIN FEDERAL STATUTES.

FILED BY: HUMAYUNA1

FILED ON: 1/20/2017 1:08:44 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED NO

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | NO |
| FILED BY: | HUMAYUNA1 |
| FILED ON: | 1/20/2017 3:12:58 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: THE SWISS COMPETITION COMMISSION (COMCO) CASE NO. 22-0473

MATTER DETAIL: DATE OF EVENT: FEBRUARY 3, 2012. PARTIES: THE SWISS COMPETITION COMMISSION (COMCO) AND BARCLAYS BANK PLC. CASE NO. 22-0473. THE COMPLAINT INCLUDES THE FOLLOWING ALLEGATIONS: COMCO REACHED THE CONCLUSION THAT BETWEEN SEPTEMBER 2005 AND MAY 2008 SEVERAL BANKS, INCLUDING BARCLAYS BANK PLC ("BARCLAYS") PARTICIPATED, FOR DIFFERENT DURATIONS, IN A CARTEL IN INTEREST RATE DERIVATIVES IN EURO. THE CARTEL AIMED AT DISTORTING THE NORMAL COURSE OF PRICING COMPONENTS FOR INTEREST RATE DERIVATIVES IN EURO. BARCLAYS SIGNED AN AMICABLE SETTLEMENT, APPROVED BY THE COMCO ON 5 DECEMBER 2016. COMCO IMPOSED TOTAL FINES OF APPROXIMATELY CHF 45.3 MILLION. THE INDIVIDUAL FINE AMOUNT TO CHF 29.772 MILLION FOR BARCLAYS. COMCO INITIATED A CONFIDENTIAL INVESTIGATION AGAINST BARCLAYS AND TOOK DECISION ON DECEMBER 5, 2016 AND PUBLICLY ANNOUNCED IT ON DECEMBER 21, 2016. FIRM RECEIVED THE FORMAL NOTICE ON DECEMBER 22, 2016.

FILED BY: HUMAYUNA1

FILED ON: 1/20/2017 3:18:49 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM CRIMINAL DISCLOSURE QUESTION C CHANGED

QUESTION: Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

ANSWER: YES

FILED BY: HUMAYUNA1

FILED ON: 3/13/2018 12:46:02 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM CRIMINAL SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED NO

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | CRIMINAL DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | NO |
| FILED BY: | HUMAYUNA1 |
| FILED ON: | 3/13/2018 12:46:02 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM CRIMINAL MATTER INFORMATION FILED

MATTER NAME: SFO - BARCLAYS BANK PLC CASE NO. T20177251

MATTER DETAIL: ON FEBRUARY 12, 2018, THE UK SERIOUS FRAUD OFFICE ("SFO") CHARGED BARCLAYS BANK PLC WITH ONE OFFENCE OF UNLAWFUL FINANCIAL ASSISTANCE CONTRARY TO SECTION 151(1) OF THE COMPANIES ACT 1985 IN RELATION TO A $3 BILLION LOAN PROVIDED TO THE STATE OF QATAR IN NOVEMBER 2008 (THE "CHARGE"). FORMAL CHARGES WERE BROUGHT IN SOUTHWARK CROWN COURT, LONDON, ENGLAND. THE CHARGE ARISES IN RELATION TO A LOAN PROVIDED TO THE STATE OF QATAR IN NOVEMBER 2008. THE SFO CHARGED BARCLAYS PLC IN JUNE 2017 RELATED TO THE SAME FACTS AND CIRCUMSTANCES.

FILED BY: HUMAYUNA1

FILED ON: 3/13/2018 12:50:15 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: US DISTRICT COURT CASE NO. 1:16-CV-07057-KAM-RLM

MATTER DETAIL: ON JANUARY 14, 2014, THE UNITED STATES DEPARTMENT OF JUSTICE (DOJ) SERVED A SUBPOENA ON BARCLAYS BANK PLC AND ITS AFFILIATES, SEEKING DOCUMENTS RELATING TO BARCLAYS' LEGACY RESIDENTIAL MORTGAGE-BACKED SECURITIES (RMBS) BUSINESS. THE INVESTIGATION IS PART OF THE WIDELY PUBLICIZED RMBS WORKING GROUP, A COMPONENT OF PRESIDENT OBAMA'S FINANCIAL FRAUD ENFORCEMENT TASK FORCE, ORGANISED IN 2009. ON DECEMBER 22, 2016, THE DOJ FILED A CIVIL COMPLAINT IN FEDERAL COURT IN NEW YORK ALLEGING THAT BARCLAYS AND TWO FORMER EMPLOYEES MADE FALSE STATEMENTS ABOUT THE QUALITY OF MORTGAGES PACKAGED INTO APPROXIMATELY US$31BN WORTH OF RESIDENTIAL MORTGAGE-BACKED SECURITIES PRIOR TO THE FINANCIAL CRISIS. THE MATTER HAS BEEN SETTLED FOR US$2,002M. PAYMENT WAS MADE ON APRIL 20, 2018. A NOTICE OF DISMISSAL WITH PREJUDICE WAS ENTERED BY THE COURT ON APRIL 23, 2018.

FILED BY: HUMAYUNA1

FILED ON: 5/21/2018 2:53:17 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM CRIMINAL DISCLOSURE QUESTION C CHANGED

QUESTION: Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

ANSWER: NO

FILED BY: HUMAYUNA1

FILED ON: 11/26/2018 1:49:57 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM CRIMINAL MATTER INFORMATION FILED

MATTER NAME: SFO - BARCLAYS BANK PLC CASE NO. T20177251

MATTER DETAIL: ON MAY 21, 2018, THE SOUTHWARK CROWN COURT DISMISSED ALL OF THE CHARGES BROUGHT BY THE SERIOUS FRAUD OFFICE ("SFO") AGAINST BARCLAYS PLC AND BARCLAYS BANK PLC. ON OCTOBER 26, 2018, THE HIGH COURT DENIED THE SFO'S APPLICATION TO REINSTATE THE CHARGES AND ALL CHARGES REMAIN DISMISSED.

FILED BY: HUMAYUNA1

FILED ON: 11/26/2018 1:51:26 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: BARCLAYS PLC, ADMINISTRATIVE PROCEEDING FILE NO 3-19537

MATTER DETAIL: ON SEPTEMBER 27, 2019, BARCLAYS PLC ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH BARCLAYS PLC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") FINDING VIOLATIONS OF SECTIONS 13(B)(2)(B) AND 13(A)(2)(A) OF THE SECURITIES EXCHANGE ACT OF 1934. THE ORDER FINDS THAT FROM 2009 TO 2013, BARCLAYS VIOLATED BOOKS AND RECORDS AND INTERNAL ACCOUNTING CONTROLS PROVISIONS OF THE FOREIGN CORRUPT PRACTICES ACT RELATED TO THE PROVISION OF EMPLOYMENT OPPORTUNITIES TO THE RELATIVES AND FRIENDS OF CERTAIN FOREIGN GOVERNMENT OFFICIALS AND EXECUTIVES OF BARCLAYS' NON-GOVERNMENT CLIENTS IN THE ASIA PACIFIC REGION. THE ORDER REQUIRED BARCLAYS PLC TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF EXCHANGE ACT SECTIONS 13(B)(2)(A) AND 13(B)(2)(B). IN ADDITION, THE ORDER REQUIRES THAT BARCLAYS PLC PAY DISGORGEMENT OF $3,824,868, PREJUDGMENT INTEREST OF $984,040, AND A CIVIL MONEY PENALTY IN THE AMOUNT OF $1,500,000. SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, BARCLAYS PLC ENTERED INTO THE ORDER WITHOUT ADMITTING OR DENYING THE FINDINGS REFERRED TO IN THE ORDER.

FILED BY: HUMAYUNA1

FILED ON: 10/16/2019 12:40:45 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant

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or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED NO

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | NO |
| FILED BY: | HUMAYUNA1 |
| FILED ON: | 10/16/2019 12:42:20 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0209452 BARCLAYS BANK PLC

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: BARCLAYS PLC, ADMINISTRATIVE PROCEEDING FILE NO 3-19537

MATTER DETAIL: ON SEPTEMBER 27, 2019, BARCLAYS PLC ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH BARCLAYS PLC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") FINDING VIOLATIONS OF SECTIONS 13(B)(2)(B) AND 13(A)(2)(A) OF THE SECURITIES EXCHANGE ACT OF 1934. THE ORDER FINDS THAT FROM 2009 TO 2013, BARCLAYS VIOLATED BOOKS AND RECORDS AND INTERNAL ACCOUNTING CONTROLS PROVISIONS OF THE FOREIGN CORRUPT PRACTICES ACT RELATED TO THE PROVISION OF EMPLOYMENT OPPORTUNITIES TO THE RELATIVES AND FRIENDS OF CERTAIN FOREIGN GOVERNMENT OFFICIALS AND EXECUTIVES OF BARCLAYS' NON-GOVERNMENT CLIENTS IN THE ASIA PACIFIC REGION. THE ORDER REQUIRED BARCLAYS PLC TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF EXCHANGE ACT SECTIONS 13(B)(2)(A) AND 13(B)(2)(B). IN ADDITION, THE ORDER REQUIRES THAT BARCLAYS PLC PAY DISGORGEMENT OF $3,824,868, PREJUDGMENT INTEREST OF $984,040, AND A CIVIL MONEY PENALTY IN THE AMOUNT OF $1,500,000. SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, BARCLAYS PLC ENTERED INTO THE ORDER WITHOUT ADMITTING OR DENYING THE FINDINGS REFERRED TO IN THE ORDER.

FILED BY: HUMAYUNA1

FILED ON: 10/16/2019 12:42:49 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant

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or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Firm Regulatory Disclosure Matter Page

NATIONAL FUTURES ASSOCIATION

Filed on October 28, 2022

NFA ID 0209452 BARCLAYS BANK PLC

Submitted by AMBER HUMAYUN (HUMAYUNA1)

The question(s) you are disclosing the regulatory action under:

☑ E.

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Regulatory Case Information

Regulatory Information

Regulatory/Civil Action initiated by SEC

Case Information

Case Number ADMIN. PRO. FILE NO. 3-21181

Case Status FINAL

Date Resolved September 2022

Sanctions imposed

OTHER: CEASE AND DESIST, MONETARY FINE, AND DISGORGEMENT

Comments

On September 29, 2022, Barclays PLC ("BPLC") and Barclays Bank PLC ("BBPLC") (collectively "Barclays")

Page 1 of 2

entered into an order instituting cease and desist proceedings with the Securities and Exchange Commission (the 'SEC' and the order, the 'SEC Order'), which alleged that BBPLC failed to put into place internal controls around the real-time tracking of securities being offered or sold off of its SEC-registered shelf registration statement, which caused BBPLC to offer and sell an amount of securities in excess of what it had registered with the SEC. The SEC Order also alleged that, in connection with this failure, BPLC and BBPLC failed to maintain a sufficient system of internal accounting controls, maintain internal control over financial reporting, file accurate annual reports with the SEC, and maintain accurate books and records. Barclays paid a civil money penalty in the amount of $200,000,000 to the SEC. The SEC Order also directed BBPLC to pay disgorgement of $149,731,011 and prejudgment interest thereon in the amount of $11,463,229.00, but this obligation was deemed satisfied by BBPLC's offer of rescission to impacted investors that commenced on August 1, 2022 and expired on September 12, 2022.

#### Supporting Documentation---

| Description | SEC 33-11110 |
| --- | --- |
| File Name | 3311110.pdf |

---

---

Page 2 of 2

**Attachment 2:** `Opinion.pdf`

# CLEARY GOTTLIEB STEEN & HAMILTON LLP

NEW YORK
WASHINGTON, D.C.
PARIS
BRUSSELS
FRANKFURT
COLOGNE
MOSCOW

2 London Wall Place
London EC2Y 5AU
T: +44 20 7614 2200
F: +44 20 7600 1698
clearygottlieb.com

ROME
MILAN
HONG KONG
BEIJING
BUENOS AIRES
SÃO PAULO
ABU DHABI
SEOUL

October 27, 2021

To:

Barclays Bank PLC,
1 Churchill Place,
London, E14 5HP
United Kingdom

With a copy to:

United States Securities and Exchange Commission
SEC Headquarters
100 F Street
NE Washington, DC 20549-1090
United States of America

Re: SEC Registration as a Non-resident Security-based Swap Dealer

We have acted as special English counsel to Barclays Bank PLC (the “Firm”), a credit institution regulated by the United Kingdom (“UK”) Financial Conduct Authority (“FCA”) and the UK Prudential Regulation Authority (“PRA”), in connection with the Firm’s application to register with the United States (“U.S.”) Securities and Exchange Commission (“SEC” or the “Commission”) as a non-resident security-based swap (“SBS”) dealer (“SBSD”). In connection with such registration, we have been asked to analyze the following questions:

- (a) whether the Firm can, as a matter of English law, provide the SEC with prompt access to its UK Books and Records (as defined below);
- (b) whether the Firm can, as a matter of English law, submit to on-site inspection and examination by the SEC of its UK Books and Records in the UK; and
- (c) whether the Firm would be in breach of English law by submitting to on-site inspections and examination of its U.S. Books and Records (as defined below) by the SEC in the U.S.

This legal opinion is provided in order to satisfy the requirement in 17 C.F.R. § 15Fb2-4(c)(1)(ii).

Cleary Gottlieb Steen & Hamilton LLP is a Limited Liability Partnership registered in England and Wales Number OC310280. It is authorised and regulated by the Solicitors Regulation Authority. A list of the members and their professional qualifications is open to inspection at the registered office, 2 London Wall Place, London EC2Y 5AU. Cleary Gottlieb Steen & Hamilton LLP or an affiliated entity has an office in each of the cities listed above.

For the purposes of this opinion letter:

“Covered Books and Records” are only those books and records that relate to the “U.S. business” (as defined in 17 C.F.R. § 240.3a71-3(a)(8)) of the Firm when acting as a non-resident SBSD, i.e., records that relate to an SBS transaction that is either:

(i) entered into, or offered to be entered into, by or on behalf of the Firm with a U.S. person (other than an SBS conducted through a foreign branch of such U.S. person); or

(ii) arranged, negotiated, or executed by personnel of the Firm located in a U.S. branch or office, or by personnel of an agent of the Firm located in a U.S. branch or office.

Additionally, books and records pertaining to SBS transactions entered into prior to the date that the Firm submits an application for registration are not Covered Books and Records.

On the basis that the Firm has a “prudential regulator” within the meaning of Section 3(a)(74) of the Securities Exchange Act of 1934 (15 U.S.C. § 78c(a)(74)), this opinion letter does not cover financial records necessary to assess compliance by the Firm with SEC capital and margin requirements.

“Relevant Books and Records” means the UK Books and Records and the U.S. Books and Records.

“UK Books and Records” are only those Covered Books and Records that are physically held or electronically stored in the UK.

“U.S. Books and Records” are only those Covered Books and Records that are physically held or electronically stored in the United States.

In arriving at our opinions below, we have reviewed:

(a) the Memorandum of Understanding signed between the FCA, the PRA and the SEC on July 30, 2021 (the “MoU”);1

(b) the administrative arrangement for the transfer of personal data between the SEC and the FCA signed on 29 April 2020 (the “Administrative Arrangement”);2

(c) the letter from the UK Information Commissioner’s Office (the “ICO”) to the SEC dated September 11, 2020 (the “ICO Letter”);3 and

1 Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision and Oversight of Certain Cross-Border Over-the-Counter Derivatives Entities In Connection with the Use of Substituted Compliance by Such Entities, signed on 30 July 2021, available at https://www.fca.org.uk/publication/mou/sec-fca-boe-mou-2021.pdf.

2 Available at: https://www.sec.gov/files/FCA-SEC-AA-FINAL.pdf.

3 Available at: https://ico.org.uk/media/for-organisations/documents/2619110/sec-letter-20200911.pdf.

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(d) the SEC order granting conditional substituted compliance in connection with certain requirements applicable to non-U.S. security-based swap dealers and major security-based swap participants subject to regulation in the United Kingdom, dated July 30, 20214.

In addition, we have made such investigations of law as we have deemed appropriate as a basis for the opinions expressed below.

# I. ASSUMPTIONS

In rendering our opinion statements below, we have assumed and not independently verified:

(a) the Firm has a “prudential regulator” within the meaning of Section 3(a)(74) of the Securities Exchange Act of 1934 (15 U.S.C. § 78c(a)(74));

(b) the SEC’s requests for the Relevant Books and Records (as defined below) and on-site inspection and examination will be intra vires;

(c) the SEC will restrict its requests for, and use of, any information in the Relevant Books and Records or obtained in the course of its on-site inspection and examination, to only such information that it may lawfully request and process for (and that is strictly necessary for) its own legitimate regulatory purposes in respect of the Firm’s activities as a non-resident SBSD;

(d) the SEC will limit its requests in respect of personal data (as defined in Article 4(1) UK GDPR, “personal data”) included in the Relevant Books and Records to targeted requests based upon a risk-based assessment in respect of specific customers, employees and accounts5;

(e) the SEC will maintain any information, data and documents obtained from the Firm in a secure manner and in compliance with all applicable U.S. laws of confidentiality and not share onwards any personal data obtained from the Firm other than in accordance with a lawful request of the U.S. Congress or a properly issued subpoena, or to other regulators who have demonstrated a need for the information and provided assurances of confidentiality;

(f) the Relevant Books and Records have been collected and maintained, and are and will be held, in accordance with the Data Protection Laws (as defined below) and English employment law relating to the processing of personal data of employees; in particular, the Firm and any relevant affiliates, as the case may be, have complied with all transparency requirements in respect of its processing of personal data by means of providing sufficiently detailed notices and information to its customers and employees and is otherwise complying

4 Available at: https://www.sec.gov/rules/other/2021/34-92529.pdf

5 The ICO Letter states that the SEC has informed the ICO that: “it is the SEC’s practice to limit the type and amount of personal data it requests during examinations to targeted requests based on risk and related to specific clients and accounts, and employees. The requested information may include some limited criminal records data and ‘special category data’ under the GDPR”.

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with Data Protection Laws and employment law requirements relating to the processing of personal data of employees;

(g) the Firm or its relevant associated persons (including affiliates), as the case may be, have obtained all required consents and approvals of any affected persons required for the disclosure of the respective information in the UK Books and Records or the U.S. Books and Records, as the case may be, to, or to allow on-site inspection and examination by, the SEC, in each case to the extent, as considered in this opinion letter, such consent or approval, as the case may be, is able to be validly given and such consent or approval has not been revoked;

(h) where the Firm is acting as controller (as defined in Article 4(7) UK GDPR, “controller”) with respect to any element of the Relevant Books and Records that constitutes personal data, the Firm will comply in all respects with all provisions of the Data Protection Laws and the Guidelines that are relevant in order for at least one of the conditions for transfer of data to a third country pursuant to Article 49 UK GDPR to be available to it; and where transfers of personal data are made to the SEC in the absence of an adequacy decision pursuant to Article 45(3) UK GDPR$^{6}$, such disclosure will be necessary for important reasons of public interest (under Article 49(1)(d) UK GDPR) in accordance with the ICO Letter;$^{7}$

(i) the Firm has neither permitted the private use of the Firm’s business e-mail accounts nor the use of private email accounts for business purposes by its employees, or the Firm has policies in place that regulate such use with sufficient separation;

(j) the Firm does not include the information described in 17 C.F.R. §§ 240.18a-5(b)(8)(i)(A) through (H) or 240.18a-5(a)(10)(i)(A) through (H), as the case may be, in questionnaires or applications for employment executed by an associated person who is not a U.S. person (as defined in 17 C.F.R. §240.3a71-3(a)(4)(i)(A)), unless the Firm is required to obtain such information under applicable law in the jurisdiction in which the associated person is employed or located or obtains such information in conducting a background check that is customary for the Firm in that jurisdiction and the creation or maintenance of records reflecting that information would not result in a violation of applicable law in the jurisdiction in which the associated person is employed or located; provided that the Firm does not know, or in the exercise of reasonable care should have known, of the statutory disqualification of such associated person;

$^{6}$ As supplemented by Section 17A UK DPA 2018.

$^{7}$ The ICO Letter provides support for the view that the Firm’s compliance with an SEC disclosure request might, on a case-by-case basis and subject to the qualifications in the ICO Letter, be considered by the ICO to be in the UK public interest since such disclosure helps to: (i) prevent UK financial crimes from being committed and (ii) prevent the commission in the U.S. of conduct that would amount to a UK financial crime. In the ICO’s assessment in the ICO Letter, the Financial Services and Markets Act 2000 (the “FSMA”) further demonstrates that there is a “UK public interest in UK-based firms not being used for the purposes of conduct overseas that would constitute a financial crime if committed in the UK.” In addition, compliance with the SEC’s request for disclosure and examination helps the Firm comply with Principle 11 of the FCA Handbook and the PRA’s Fundamental Rule 7, which require FCA- and PRA-regulated firms to deal with regulators worldwide in an open and cooperative way. The ICO Letter therefore supports the view that the relevant data transfers could be considered necessary for important reasons of public interest. However, the ICO Letter also makes clear the importance of complying with other UK GDPR obligations. In addition to relying on Article 49(1)(d) (if it can do so), the Firm also has to demonstrate a lawful basis under Article 6 UK GDPR for every instance it makes a disclosure or permits examination of the Relevant Books and Records by the SEC.

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(k) the Firm will keep the U.S. Books and Records in accordance with any applicable SEC requirements;

(l) the MoU is in full force and effect and no notice of termination has been sent pursuant to Article XI thereof;

(m) the FCA, the PRA and the SEC (as applicable) will comply in all respects with all provisions of the UK MOU and Administrative Arrangement; and

(n) neither the contractual arrangements with its customers or within its own organisation (including any standard contractual clauses or other intragroup data transfer mechanism or protocol) nor any orders by, or other arrangements with, its regulators or other supervisory authorities (including the FCA or the PRA) prohibit the Firm from providing the SEC with prompt access to the UK Books and Records or to submit to on-site inspection and examination of the Relevant Books and Records by the SEC.

## II. OPINION STATEMENTS

Based upon the foregoing and subject to the assumptions in this letter and the following discussion and qualifications, it is our opinion that:

(a) the Firm can, as a matter of English law, provide the SEC with prompt access to its UK Books and Records;

(b) the Firm can, as a matter of English law, submit to on-site inspection and examination by the SEC of its UK Books and Records in the UK; and

(c) the Firm can, as a matter of English law, submit to on-site inspection and examination by the SEC of its U.S. Books and Records in the United States.

## III. DISCUSSION

### 1. Data Protection Law

The UK data protection regime is largely derived from European Union (“EU”) privacy and data protection laws retained in successor UK legislation after the UK’s withdrawal from the EU.

The primary law regulating the processing of personal data in the EU is the General Data Protection Regulation 2016/679 (the “GDPR”). The GDPR forms part of the UK’s “retained EU law” under (and as defined in) the European Union (Withdrawal) Act 2018 (“EUWA”). The UK version of the GDPR operates under the EUWA as amended by Schedule 1 to the Data Protection, Privacy and Electronic Communications (Amendments etc.) (EU Exit) Regulations 2019 (SI 2019/419) (“UK GDPR”), and sits alongside the UK Data Protection Act 2018 (“DPA 2018”), which contains provisions that serve to supplement (and in some cases, derogate from) the UK GDPR.

The UK GDPR and the DPA 2018 (together, the “Data Protection Laws”) will apply to the Firm’s disclosure of the Relevant Books and Records to the SEC to the extent that these comprise or contain personal data. Personal data is any data relating to an identified or identifiable living individual and may include information concerning the Firm’s employees, counterparties and customers.

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As described in the ICO Letter, the UK GDPR “provides a range of transfer tools and gateways”8 that permit in certain circumstances the transfer of personal data from entities, acting as controller or processor, in the UK such as the Firm to public authorities such as the SEC in the absence of an adequacy decision pursuant to Article 45(3) UK GDPR.9 For instance, Article 46(1) UK GDPR provides that a UK-based entity may transfer personal data to a third country if the entity has provided “appropriate safeguards, and on condition that enforceable data subject rights and effective legal remedies for data subjects are available”. Furthermore, Article 49 UK GDPR provides that in the absence of an adequacy decision pursuant to Article 45(3) UK GDPR, or of appropriate safeguards pursuant to Article 46, a transfer or a set of transfers of personal data to a third country may take place based on one of the derogations enumerated in Article 49 UK GDPR, provided that all the conditions of such a derogation are met. Such conditions include:

(a) the data subject has explicitly consented to the proposed transfer, after having been informed of the possible risks of such transfers for the data subject due to the absence of an adequacy decision and appropriate safeguards;

(b) the transfer is necessary for the performance of a contract between the data subject and the controller or the implementation of pre-contractual measures taken at the data subject’s request;

(c) the transfer is necessary for the conclusion or performance of a contract concluded in the interest of the data subject between the controller and another natural or legal person;

(d) the transfer is necessary for important reasons of public interest; and

(e) in case none of the above conditions are applicable, if the transfer is not repetitive, concerns only a limited number of data subjects, is necessary for the purposes of compelling legitimate interests pursued by the controller which are not overridden by the interests or rights and freedoms of the data subject, and the controller has assessed all the circumstances surrounding the data transfer and has on the basis of that assessment provided suitable safeguards with regard to the protection of personal data. The controller shall, in addition to providing the information referred to in Articles 13 and 14 UK GDPR, inform the data subject of the transfer and of the compelling legitimate interests pursued.

In addition, the European Data Protection Board (“EDPB”) has issued guidelines as to the scope and interpretation of Article 49 GDPR on derogations in the context of transfers of personal data to third countries (the “Guidelines”).10

Given the absence as of the date hereof of an adequacy decision pursuant to Article 45(3) UK GDPR with respect to the United States, the Firm can provide access to the SEC to, and submit to onsite inspection by the SEC with respect to, elements of

8 ICO Letter, page 3.

9 According to Article 44 UK GDPR, any transfer of personal data to third countries or international organizations must, in addition to complying with Chapter V UK GDPR, also meet the conditions of the other provisions of the UK GDPR

10 EDPB’s Guidelines 2/2018 on derogations of Article 49 under Regulation 2016/679, adopted on 25 May 25 2018, available at: https://edpb.europa.eu/sites/edpb/files/files/file1/edpb_guidelines_2_2018_derogations_en.pdf.

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Relevant Books and Records that constitute personal data only if the conditions of Article 46(1) UK GDPR or Article 49 UK GDPR (as interpreted by the Guidelines) are satisfied.

It will be the responsibility of the Firm as data controller to assess, on a case-by-case basis (as and when the SEC requires disclosure of or access to Relevant Books and Records that may contain personal data), which of the provisions of the Data Protection Laws may be relied on for the lawful disclosure to the SEC of personal data comprising or contained in the Relevant Books and Records. On the basis of and in reliance on the ICO’s position set out in the ICO Letter, in accordance with which the Firm may be able to rely on the derogation under Article 49(1)(d) UK GDPR to justify the transfer to the SEC of Relevant Books and Records containing personal data, we are of the view that, subject to our assumption in item (h) and the other assumptions and qualifications in this opinion letter, the provision of prompt access to and the submission to on-site inspection and examination of, the Relevant Books and Records, as the case may be, do not conflict with the applicable Data Protection Laws.

## 2. Duty of Confidentiality

Over the years, the English courts have recognized that confidential information may be subject to certain duties of confidentiality, including a general duty of confidentiality, and specific duties applying to banks and employers.$^{11}$

### a. Scope of duties

According to the case, *Coco v AN Clark (Engineers) Ltd* [1968] F.S.R. 415, two requirements are needed for the information to be protected under the general duty of confidentiality. Firstly, the information must have the “*necessary quality of confidence*”.$^{12}$ Secondly, the information must have been given in a situation which imposed an obligation of confidence.

(i) The necessary quality of confidence is defined as information which is not “*public property and public knowledge*”.$^{13}$ Given the information contained in the Relevant Books and Records is not publically available, it is likely to possess the requisite quality of confidence to the extent that the information relates to the Firm’s customers or employees and is not information owned by or relating to the Firm itself.

(ii) The information must have been communicated in a situation where an obligation of confidence was either expressly or impliedly imposed.$^{14}$ The court will consider whether the recipient of the information knew, or ought to have known, that there was a duty of confidentiality in relation to that information. Such duty confidentiality can be imposed by contract, implied by the circumstances of the disclosure, or implied by a special relationship between the parties.

$^{11}$ The following discussion is without prejudice to the discussion of the Data Protection Laws above.

$^{12}$ Megarry J in the *Coco v AN Clark (Engineers) Ltd* at 419 used the formulation first used by Lord Greene, M.R. in *Saltman Engineering Co Ltd v Campbell Engineering Co Ltd* [1948] 65 RPC 203, [1963] 3 All ER 413.

$^{13}$ *Saltman Engineering Co Ltd v Campbell Engineering Co Ltd* at 415.

$^{14}$ Megarry J in *Coco v AN Clark (Engineers) Ltd* at 420.

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If aspects of the information contained in the Relevant Books and Records relate to either customers or employees, this would likely imply that the Firm, as the recipient, either knew or ought to have known that the information was to be treated confidentially.

Under the banker's duty of confidence established by *Tournier v National Provincial and Union Bank of England* [1924] 1 KB 461 ("*Tournier*"), banks, such as the Firm, must keep its customer's affairs private. The scope of the banker's duty of confidentiality is wide, and extends "*at least to all the transactions that go through the account, and to the securities, if any, given in respect of the account*", "*beyond the point when the account is closed, or cease[s] to be an active account*",15 and encompasses intra-bank disclosures within the same corporate group.16

In contrast, an employer's duty of confidence17 is limited: the Firm will only be restricted in its use of information held in relation to its employees "*where there is no reasonable and proper cause for the employer[']s conduct and only then if the conduct is calculated to destroy or seriously damage the relationship of trust and confidence.*"18

**b. Exceptions**

To bring a successful claim for breach of confidentiality, the legal or natural person to whom the duty of confidentiality is owed (the "*Rights Holder*") must demonstrate that there has been an unauthorized use of confidential information to their detriment.19

Where Relevant Books and Records contain customer information, the Firm will only be able to disclose Relevant Books and Records containing confidential information in un-redacted form via one of the following exceptions established in *Tournier*:

(a) where the disclosure is made by the express or implied consent of the customer;

(b) under compulsion of law;

(c) where the disclosure is in the public interest; or

(d) where it is in the interests of the bank to make disclosure.

The general and employer's duties of confidentiality are also subject to the exceptions in (a)20 to (c) above.

15 *Tournier* at 485.

16 *Bank of Tokyo Ltd v Karoon* [1987] 1 AC 45 at 54.

17 *Prout v British Gas Plc and Another* [1992] F.S.R. 478 at 482.

18 *Malik v Bank of Credit and Commerce International SA* [1998] A.C 20 at 53.

19 Megarry J in *Coco v AN Clark (Engineers) Ltd* at 421.

20 The availability of the exception in (a) in relation to the general duty of confidentiality was confirmed by *Arnold J in Primary Group (UK) Ltd v The Royal Bank of Scotland Plc* [2014] R.P.C. 26 at 246.

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# i. *Consent*

Disclosure of confidential information is permissible where the Rights Holder has given their consent to the disclosure of their confidential information.

There is likely to be a high bar to meet when relying on implied consent. In *Turner v Royal Bank of Scotland Plc* [1999] 2 All E.R, it was decided that established market practice of sharing of customer information between banks did not amount to implied consent of the customer as the customer was not aware of this practice. To amount to implied consent, the practice under which disclosure is made must be “*notorious, certain and reasonable*”.$^{21}$

The ability to rely on implied consent in relation to customers will partly depend on what information is provided to customers when the Firm provides services in SBSs. If no information about the jurisdiction or regulators involved is provided, then the Firm would be placing reliance on the customer’s own understanding of regulatory obligations on banks, the U.S. nexus and the SEC’s role in these services, which may not necessarily be present. However, if customers are provided detailed information, such as the Firm’s cross-border activity in SBSs with the United States and oversight by the SEC, then the Firm is more likely to be able to rely on implied consent.

# ii. *Compulsion of law*

Disclosure of confidential information may be permitted when required by statutory law or court order.

However, this exception, as it relates to statutory obligations, is likely only available where the compulsion stems from UK statute$^{22}$ and, despite the existence of UK statutory provisions requiring the disclosure of information that would otherwise be confidential,$^{23}$ none are directly applicable to this situation.

Likewise, a U.S. court order is unlikely to be sufficient for this exception. *X AG and others v A bank* [1983] 2 All ER at 475 held that a subpoena requiring disclosure issued by a foreign court did not qualify as compulsion by law on the basis that “*[t]he fact is that confidentiality is not rendered illegal by a subpoena requiring disclosure, which is to be contrasted with some form of legislation to that end.*”

Finally, given that the MoU between the FCA, the PRA and the SEC lacks the authority of statute, it should not be relied upon by the Firm for the purpose of this exception.

$^{21}$ Sir Richard Scott VC at 670 quoting from *Chitty on Contracts* (27th edn, 1994), vol I, para 13-014.

$^{22}$ In *A and Others v B Bank (Governor and Company of the Bank of England intervening)* [1992] 3 WLR 705 it was held that there would be no breach of confidentiality where disclosure was ordered by a United Kingdom regulator (the Bank of England) who would then pass the information over to a foreign regulator (the U.S. Federal Reserve Board). However, it was the United Kingdom regulator’s compelling power under the Banking Act 1987, not that of the U.S. Federal Reserve Board, which was decisive.

$^{23}$ For example, under certain circumstances, a person may be required to produce documents or otherwise disclose information in accordance with the FCA’s and PRA’s powers under Part XI of the FSMA. In addition, under s.330 of the Proceeds of Crime Act 2002 it is an offence for someone in the regulated sector not to disclose knowledge or suspicion of money laundering activities as required by the legislation.

9

# iii. *Public interest*

The public interest exception requires a balance to be struck between the rights of the Rights Holders and the public interest in the SEC obtaining that confidential information.$^{24}$ The test to be applied involves considering whether in all the circumstances, it is in the public interest that the duty of confidence should be overridden.$^{25}$

Disclosure in the public interest has been narrowly construed by the English courts, and the burden is for the Firm to justify disclosure of confidential information.$^{26}$ In *Tournier*, it was suggested that national security concerns,$^{27}$ and disclosure in the interest of preventing fraud or crime would meet this criterion.$^{28}$

However, it has been held that public interest in effective regulation and supervision of banking institutions$^{29}$ outweighs the public interest in maintaining confidentiality, even without statutory compulsion.$^{30}$ In such instances, the weight of the claim for disclosure is greater when considering limited disclosure, such as to a relevant authority acting under its own duties of confidence, as opposed to public dissemination of information.$^{31}$

Disclosure to the SEC may aid the SEC’s supervisory mandate. This would likely be sufficient to establish a public interest in disclosure, as compliance with SEC Rules (i) helps to prevent UK financial crimes from being committed; and (ii) helps to prevent the commission in the U.S. of conduct that would amount to a UK financial crime. In addition, compliance with a request from the SEC for disclosure or examination helps the Firm comply with its obligations under the FCA’s Principle 11 and the PRA’s Fundamental Rule 7, as applicable, which require the Firm to “deal with its regulators$^{32}$ in an open and cooperative way...”.

For these reasons, it is likely that the Firm would be able to rely on this exception to the duties of confidence in permitting the SEC to access and examine its Relevant Books and Records.

$^{24}$ *AG v Guardian Newspapers (No 2) and Others* [1990] 1 A.C. 109 (known as *Spycatcher*) at 268.

$^{25}$ *Prince of Wales v Associated Newspapers Ltd (CA)* [2007] 3 WLR at 68.

$^{26}$ *Price Waterhouse v BCCI Holdings (Luxembourg) SA* [1992] BCLC 583 at 597.

$^{27}$ *Tournier* at 481 and 486.

$^{28}$ *Tournier* at 486.

$^{29}$ In *Pharaon v Bank of Credit and Commerce International SA* [1998] 4 All E.R. 455, it was held that a bank could comply with a foreign subpoena without breaching the duty of confidentiality on the basis of the public interest exception (this contrasts with the exception for compulsion of law, as discussed above).

$^{30}$ *Price Waterhouse v BCCI Holdings (Luxembourg) SA* [1992] BCLC 583 at 596 and 601. Although this case concerned disclosure by accountants, the court’s analysis applies equally to the duty of confidentiality owed by a bank.

$^{31}$ *AG v Guardian Newspapers (No 2) and Others* at 268.

$^{32}$ This is considered to include non-UK regulators (see the FCA’s Principles for Businesses (PRIN) 1.1.6G, which sets out that “Principle 11 (Relations with regulators) applies to world-wide activities; in considering whether to take regulatory action under Principle 11 in relation to cooperation with an overseas regulator, the FCA will have regard to the extent of, and limits to, the duties owed by the firm or other person to that regulator.”)

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# iv. *In the bank's interest*

In certain cases, confidential information that is subject to the banker’s duty of confidentiality may be disclosed where it is in the interests of the bank. This exception is not available for information that is subject to the general duty of confidentiality alone. However, we consider that this exception is available to information that is subject to both such duties, leaving only information that does not relate to customers (*e.g.*, information relating to employees) beyond the scope of this exception.

Although it is in the Firm’s interest to comply with the SEC’s requests, the case law indicates that a high bar exists to satisfy this exception. The qualification will most obviously cover the situation where a bank commences proceedings against its customer to recover an unpaid loan or overdraft facility and the bank has to disclose the extent of the customer’s liabilities in its claim.$^{33}$ However, in *XAG and others v A Bank*, Leggatt J held that it was not clearly in the defendant bank’s own interests to comply with a subpoena from New York, as the bank could not establish as a matter of fact that it would face any serious detriment for its failure to comply.$^{34}$ Accordingly, the bank’s own interest exception will be construed narrowly and the court will assess whether the bank’s own interests are genuinely threatened by non-disclosure.

In relation to the SEC’s requests, failure to comply may result in enforcement action and potentially the Firm’s inability to conduct SBS business in U.S. markets. Therefore, it is arguable that the Firm may face serious detriment for a failure to comply with the SEC’s requests.

However, to rely on this exception, the Firm must also balance its interests in complying with the SEC’s disclosure request against the competing interest of its customers in the banker’s duty of confidence being maintained, and the Firm must satisfy itself that those interests do not outweigh its own. This would require an assessment on a case-by-case basis. As each customer’s circumstances differ, this exception may not provide a consistent basis on which to provide information to the SEC in comparison to the public interest exception above.

In conclusion, as explored above, it is unlikely that the compulsion of law exception will be applicable. In relation to the banker’s duty of confidentiality, it may not be possible to rely on disclosure in the bank’s interest in all cases. However, the Firm should be able to rely on the public interest and, where available, consent exceptions to the duties of confidence in permitting the SEC to access and examine its Relevant Books and Records.

#### IV. QUALIFICATIONS

The opinion statements above are subject to the qualifications set out below:

(a) This opinion letter relates exclusively to (i) the access provided to the SEC to the UK Books and Records in respect of which, for purposes of the Data Protection Laws, the Firm is a data controller, and that are subject to English law; and (ii) on-site inspection and examination by the SEC of the UK Books and Records on the premises of the

$^{33}$ See *Tournier* at 473.

$^{34}$ *XAG and others v A bank* at 475.

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Firm in the UK and the U.S. Books and Records on the premises of the Firm in the United States, as the case may be.

(b) This opinion letter is confined to legal matters, and we express no opinion as to any factual matters.

(c) This opinion letter may therefore only be relied upon under the condition that this opinion letter shall be governed by English law and construed in accordance with English rules of construction and that issues of interpretation of this opinion must be brought before an English court.

(d) The opinion statements set out above are limited to English law. We do not express any opinion as to, and have not made any investigation of, any law other than English law in force as at the date hereof and as applied according to published case law.

(e) The opinion statements set out above are based upon the ICO Letter and our understanding that the SEC, in its preliminary view, has been provided “*with adequate assurances*” by the FCA and the PRA that “*no law or policy would impede the ability of any entity that is directly supervised by the authority and that may register with the Commission to provide prompt access to the Commission to such entity’s books and records or to submit to onsite inspection or examination by the Commission*”$^{35}$. The opinion statements set out above are predicated on the ICO not significantly changing its proposed regulatory approach to the matters set out in the ICO Letter following the end of the transition period after the UK’s withdrawal from the EU.$^{36}$

(f) The opinion statements to the effect that the Firm “can”, as a matter of English law, take certain actions is not an expression of any opinion or a confirmation that it may (lawfully) do so in any given instance where the opportunity, or request, or requirement to do so arises. It is a fundamental part of this opinion that the Data Protection Laws stipulate certain legal bases on which such action *may* be taken, but the lawfulness of actually taking such action is subject to the scope and qualifications of the relevant legal basis (such as, in the case of processing on the bases of Articles 6(1)(e) and 6(1)(f) UK GDPR, a right of data subjects to object to the relevant processing$^{37}$) and other applicable provisions of the Data Protection Laws,$^{38}$ as set out in this opinion letter. Whether the requirements of (and qualifications to) the legal basis to be relied upon in a specific case are actually fulfilled, must be determined on a case-by-case basis by the Firm (as and when the SEC requires disclosure

$^{35}$ See Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Notices, p. 6 available at https://www.govinfo.gov/content/pkg/FR-2021-08-06/pdf/2021-16657.pdf.

$^{36}$ The ICO states to the SEC in the ICO Letter: “*The UK has left the European Union and is currently in a transition period when EU laws, including GDPR, continue to apply. At the end of this transition period on 1 January 2021 the UK GDPR will apply, which will contain very similar provisions. We do not anticipate any significant change to our approach to the application of the UK GDPR to the transfers of personal data by SEC regulated UK firms to you.*”

$^{37}$ UK GDPR Article 21(1).

$^{38}$ For instance, in the ICO Letter, the ICO states that: “*We would not find there to be a breach of the GDPR transfer rules if the firm provided evidence that it had carefully considered and appropriately applied the Art. 49.1(d) ‘public interest’ derogation.*” (emphasis added). The opinions expressed in this letter regarding Article 49(1)(d) are accordingly subject to the Firm’s compliance with these ICO requirements.

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of or access to Relevant Books and Records that may contain personal data) after due and careful consideration.

(g) The opinions expressed herein are rendered on and as of the date hereof, and we assume no obligation to advise you (or any other person who may rely on this opinion letter in accordance with the paragraph above), or undertake any investigations, as to any legal developments or factual matters arising subsequent to the date hereof that might affect the opinions expressed herein. We acknowledge that SEC rules require a non-resident SBSD to re-certify within ninety days after any changes in the legal or regulatory framework that would impact the ability of the SBSD to provide, or the manner in which it would provide, prompt access to its books and records, or would impact the ability of the SEC to inspect and examine the SBSD. Upon such change of law, the SBSD will be required to submit a revised opinion describing how, as a matter of English law, the SBSD will continue to meet its obligations.

(h) The MoU is not a legally binding agreement and therefore that the SEC, the FCA and the PRA are not under a legal obligation to comply with its provisions.

## V. RELIANCE

This opinion letter is being furnished solely for the benefit of the Firm and is not to be relied on by, or furnished to, any other person or used, circulated, quoted or otherwise referred to for any other purpose, except that the Firm may submit this opinion letter to the SEC as part of its application to register as a non-resident SBSD. In authorizing the Firm to make this opinion letter available to the SEC for such purposes, we are not undertaking or assuming any duty or obligation to the SEC or establishing any lawyer-client relationship with it.

This opinion letter is limited to the matters expressly stated herein and does not extend to, and is not to be read as extended by implication to, any other matters.

Very truly yours,

CLEARY GOTTLIEB STEEN & HAMILTON LLP

By:

Sunil Gadhia, a Partner

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**Attachment 3:** `andreadisalex1.pdf`

# Alex Andreadis (Summary of Investment Related Experience)

# July, 2009 - Present: Barclays Bank PLC

- March 2022 to Present: Chief Compliance Officer, Barclays Bank PLC
- March, 2017 - March, 2022: Corporate and Investment Bank Compliance Lead & Global Head of Markets Compliance
- December, 2016 - March, 2017: Managing Director, EME/APAC Head Markets Compliance Co-Head Surveillance
- May, 2015 - December, 2016: Managing Director, Head Barclays Non-Core & Treasury Compliance
- May, 2014 - May, 2015: Managing Director, Co-Head Markets Compliance
- October, 2013 - May, 2014: Head Markets Compliance, EMEA
- January, 2011 - October, 2013: Global Head Credit, EM & Structuring Compliance
- July, 2009 - January, 2011 - EMEA Head Credit, Securitised Products & Exotics

# July, 2004 - July, 2009: Goldman Sachs International

Executive Director, Securities Division Compliance

# December, 2003 - June, 2004: Citigroup

Compliance - Global Markets

# August, 2000 - December, 2003: London Stock Exchange

Market Regulation, Supervision

# January, 1998 - June, 2000: Curvalue UK

Derivatives Trader, Risk Manager, Compliance Officer

Restricted - Internal

**Attachment 4:** `13a13baddendum.pdf`

| Item 13 A - Additional Information |  |
| --- | --- |
| Firm Name | Describe Nature of arrangement |
| Truphone | Retain books and records |
| Clausematch | Retain books and records |
| Vodafone | Retain books and records |
| Bloomberg | Retain books and records |

| Item 13 B - Additional Information |  |
| --- | --- |
| Firm Name | Describe Nature of arrangement |
| ICE Clear Credit | Clearing |
| LCH | Clearing |
| Ice Clear Europe | Clearing |

**Attachment 5:** `ScheduleF.pdf`

# **Schedule F, Section II - Additional Foreign Financial Regulatory  
Authorities**

| English Name of Foreign Financial Regulatory Authority | Foreign Registration No. | English Name of Country |
| --- | --- | --- |
| Cayman Islands Monetary Authority | No Regulated Entity # | Cayman Islands |
| China Banking and Insurance Regulatory Commission | 91310000783141239H | China |
| Securities and Futures Commission | 1026167 | China |
| Gibraltar Financial Services Commission | 122702 | Gibraltar |
| Guernsey Financial Services Commission | 10 | Guernsey |
| Hong Kong Monetary Authority | 1026167 | Hong Kong |
| Reserve Bank Of India | 1/90 | India |
| Securities And Exchange Board Of India | INBI00000950 | India |
| Securities And Exchange Board Of India | INM000002129 | India |
| Reserve Bank Of India | BOM.43 | India |
| Isle Of Man Financial Services Authority | 1047 | Isle of Man |
| Bank Of Israel | 56-002575-1 | Israel |
| Japan Financial Services Agency | 1075 | Japan |
| Jersey Financial Services Commission | 8446 | Jersey |
| France ACPR | 12448 | Monaco |
| Monaco Commission for the Control of Financial Activities | No Regulated Entity # | Monaco |
| Monetary Authority Of Singapore | S73Fc2302A | Singapore |
| Swiss Financial Market Supervisory Authority FINMA | None | Switzerland |

**Attachment 6:** `summaryofchanges1.pdf`

# **Barclays Bank PLC (Summary of Changes) - March 21, 2023**

- Updated Execution Page
- Added Menasey Marc Moses on Schedule A

Restricted - Internal

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

### Applicant Information

**Full Applicant Name:** BARCLAYS BANK PLC

**NFA Number:** 209452

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

**CIK:** 0000312070

**UIC:** G5GSEF7VJP5I7OUK5573

**Main Address:** 1 CHURCHILL PLACE, CANARY WHARF, LONDON, X0, E14 5HP

**Business Telephone:** 0044-20-3555-4619

**Contact Employee:**

- **Name:** Mary Beth Coffey

- **Title:** Head of US Registrations

- **Phone:** 212-412-3206

- **Email:** marybeth.coffey@barclays.com

**Chief Compliance Officer:**

- **Name:** Alexander Andreadis

- **Title:** Chief Compliance Officer - BBPLC

- **Phone:** 44 (0) 20 3134 5899

- **Email:** alexander.andreadis@barclays.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:**
BBPLC is the non-ring-fenced bank of Barclays PLC and consists of our Corporate and Investment Banking division -comprised of Corporate Banking, Global Markets, Investment Banking and Research- and Consumer, Cards and Payments division -comprising US Consumer Bank, Barclays Payments, Consumer Bank Germany, and the Private Bank-. BBPLC is regulated by the PRA and FCA, amongst several other regulators globally including the CFTC and SEC within the United States. BBPLC is a diversified transatlantic, wholesale and consumer business.

### 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:** 23

### Schedule A: Principals

| Name                                   | Title or Status                              | Date Acquired   | Date Began Working   | Ownership         | NFA ID No.   |
|:---|:---|:---|:---|:---|:---|
| Andrew Longmuir                        | HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION | 06/2020         | 11/2017              | NA - less than 5% | 530135       |
| Adeel Khan                             | HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION | 11/2016         | 12/2008              | NA - less than 5% | 500523       |
| Coimbatore Sundararjan Venkatakrishnan | CHIEF EXECUTIVE OFFICER                      | 11/2021         | 03/2016              | NA - less than 5% | 296017       |
| Diane Schueneman                       | Director                                     | 07/2020         | 06/2016              | NA - less than 5% | 247442       |
| Mary Elizabeth Francis                 | Director                                     | 07/2020         | 10/2016              | NA - less than 5% | 499781       |
| Michael Lublinsky                      | HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION | 03/2018         | 11/2017              | NA - less than 5% | 267895       |
| Michael Ashley                         | Director                                     | 07/2020         | 09/2013              | NA - less than 5% | 466920       |
| Nigel Paul Higgins                     | Director                                     | 04/2019         | 11/2018              | NA - less than 5% | 520074       |
| Paul Compton                           | President                                    | 07/2019         | 05/2016              | NA - less than 5% | 499224       |
| Paul Leech                             | HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION | 10/2020         | 01/2020              | NA - less than 5% | 533238       |
| Scott Eichel                           | HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION | 08/2019         | 08/2018              | NA - less than 5% | 523878       |
| Stephen Dainton                        | HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION | 09/2017         | 09/2017              | NA - less than 5% | 508060       |
| Steven Ewart                           | Chief Financial Officer                      | 08/2018         | 07/2004              | NA - less than 5% | 514464       |
| Stuart Baker                           | Director/Chief Operating Officer             | 11/2020         | 05/2018              | NA - less than 5% | 534251       |
| Timothy James Breedon                  | Director                                     | 07/2020         | 11/2012              | NA - less than 5% | 452340       |
| Todd Sandoz                            | HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION | 11/2020         | 05/2018              | NA - less than 5% | 533233       |
| Dawn Fitzpatrick                       | Director                                     | 09/2021         | 09/2019              |  | 466149       |
| Mohamed El-Erian                       | Director                                     | 09/2021         | 01/2020              |  | 295754       |
| Andrew Mogavero                        | HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION | 01/2022         | 09/2008              |  | 544613       |
| Alexander Andreadis                    | Chief Compliance Officer                     | 04/2022         | 07/2009              | NA - less than 5% |  |
| Anna Cross                             | Director                                     | 04/2022         | 09/2013              | NA - less than 5% | 549332       |
| Robert Berry                           | Director                                     | 02/2022         | 02/2022              | NA - less than 5% | 268652       |
| Menasey Marc Moses                     | Director                                     | 01/2023         | 01/2023              | NA - less than 5% | 555208       |

### Schedule B: Explanations

**Description:**
BBPLC operates the following financial services industry related non-securities businesses: Corporate Banking which provides working capital and transaction banking services, including trade and payments, for multinational corporates and institutions, and UK large and medium size corporate clients; Foreign exchange FX products; CFTC registered Swap Dealer; US Consumer Bank which provides co-brand consumer credit cards, lending and deposit accounts to US customers; Barclays Payments which is an issuing and acquiring business, providing payment solutions for consumers and merchants in the UK; Consumer Bank Germany which provides consumer lending products with a focus on instalment loans and the Private Bank which provides banking, credit and investment services to retail, high net worth and ultra-high net worth clients, family offices and businesses internationally.

**Records Keeper:**

- **Name:** Vodafone

  - **Address:** Vodafone House, The Connection, Newbury, Berkshire, X0, RG14 2FN

  - **Effective Date:** 12-22-2009

  - **Arrangement:** —

- **Name:** Truphone

  - **Address:** 25 Canada Square, Canary Wharf, London, X0, E14 5LQ

  - **Effective Date:** 07-23-2018

  - **Arrangement:** —

- **Name:** Clausematch Limited

  - **Address:** WeWork, 30 Churchill Place, Canary Wharf, London, X0, E14 5EU

  - **Effective Date:** 11-01-2016

  - **Arrangement:** —

- **Name:** Bloomberg

  - **Address:** 731 Lexington Avenue, New York, NY, 10019

  - **Effective Date:** 01-18-2011

  - **Arrangement:** —

**Onbehalf:**

- **Name:** Ice Clear Europe

  - **Address:** Milton Gate, 60 Chiswell Street, London, X0, EC1Y 4SA

  - **Effective Date:** 06-06-2008

  - **Arrangement:** —

- **Name:** LCH Ltd

  - **Address:** Aldgate House, Aldgate High Street, London, X0, EC3N 1EA

  - **Effective Date:** 08-20-1999

  - **Arrangement:** —

- **Name:** Ice Clear Credit

  - **Address:** 353 North Clark Street, Suite 3100, Chicago, IL, 60654

  - **Effective Date:** 07-14-2011

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** Barclays PLC

  - **Address:** 1 Churchill Place, London, X0, E14 5HP

  - **Effective Date:** 10-12-2015

  - **Arrangement:** —

### Execution

**Date:** 03-21-2023

**Name of Applicant:** BARCLAYS BANK PLC

**Signature:** Mary Beth Coffey

**Printed Name:** Mary Beth Coffey

**Title:** Head of US Registrations