# EDGAR Filing Document

**Accession Number:** 0000872786
**File Stem:** 0000872786-25-000023
**Filing Date:** 2025-7
**Character Count:** 10532
**Document Hash:** 8d25a72d3cd6a602d0595b409e08c8aa
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000872786-25-000023.hdr.sgml**: 20250708

**ACCESSION NUMBER**: 0000872786-25-000023

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

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20250707

**DATE AS OF CHANGE**: 20250708

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BNP PARIBAS
- **CENTRAL INDEX KEY:** 0000872786

**ORGANIZATION NAME:**
- **EIN:** 941677765
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00129
- **FILM NUMBER:** 251109598

**BUSINESS ADDRESS:**
- **STREET 1:** 16 BOULEVARD DES ITALIENS
- **CITY:** PARIS
- **STATE:** I0
- **ZIP:** 75009
- **BUSINESS PHONE:** 9174714792

**MAIL ADDRESS:**
- **STREET 1:** 787 SEVENTH AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BNP PARIBAS SA
- **DATE OF NAME CHANGE:** 20040817

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BNP PARIBAS/NY
- **DATE OF NAME CHANGE:** 20010515

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PARIBAS
- **DATE OF NAME CHANGE:** 19980728

### Attached PDF Documents

**Attachment 1:** `SBSD_Opinion-BNPP_5-7-25.pdf`

_No text found in this document._

**Attachment 2:** `BNPP_NFA_7-R_as-of_Jul-02-25.pdf`

_No text found in this document._

**Attachment 3:** `Change_Log__July-04-2025.pdf`

_No text found in this document._

**Attachment 4:** `Schedule_F_Section_II.pdf`

_No text found in this document._

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

### Applicant Information

**Full Applicant Name:** BNP PARIBAS

**NFA Number:** 247694

**IRS Employer ID No.:** 94-1677765

**CIK:** 0000872786

**Main Address:** 16 BOULEVARD DES ITALIENS, PARIS, I0, 75009

**Mailing Address:** 787 SEVENTH AVENUE, NEW YORK, NY, 10019

**Business Telephone:** 9174714792

**Contact Employee:**

- **Name:** Claudia Lewis

- **Title:** Managing Director

- **Phone:** 212-471-6768

- **Email:** claudia.lewis@us.bnpparibas.com

**Chief Compliance Officer:**

- **Name:** Stephanie Maarek

- **Title:** Head of Compliance

- **Phone:** 33 6 31 28 17 87

- **Email:** stephanie.maarek@bnpparibas.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:**
BNP Paribas, Europe's leading provider of banking and financial services. It operates in 64 countries and has nearly 178,000 employees, including over 144,000 in Europe. BNP Paribas's activities are diversified and integrated within a distinctive model combining Commercial and Personal Banking activities in Europe and abroad, Specialized Businesses (consumer credit, mobility and leasing services, and new digital business lines), insurance, Private Banking and asset management, and banking for large corporates and institutionals. BNP Paribas' organization is based on three operating divisions: (1) Corporate & Institutional Banking (CIB), (2) Commercial, Personal Banking and Services (CPBS), and (3) Investment & Protection Service (IPS). BNP Paribas SA is the parent company of the BNP Paribas Group. For additional information please see BNPP's universal registration document and annual financial report.

### Control and History

**Are records kept by another entity?:** No

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

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

**Is applicant financed by another entity?:** No

**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. |
|:---|:---|:---|:---|:---|---:|
| Jacques Andre Aschenbroich          | Director                              | 03/2017         | 03/2017              | NA - less than 5% |       505827 |
| Jean-Laurent Bonnafe                | Director and Chief Executive Officer  | 05/2010         | 09/1993              | NA - less than 5% |       452368 |
| Monique Cohen                       | Director                              | 05/2014         | 05/2014              | NA - less than 5% |       476331 |
| Hugues Gille Eric Epaillard         | Director                              | 02/2018         | 02/1991              | NA - less than 5% |       514354 |
| Jean Lemierre                       | Director                              | 05/2015         | 05/2015              | NA - less than 5% |       484474 |
| Kara Lynn Victoria Lemont Sportelli | Principal                             | 02/2020         | 06/2004              | NA - less than 5% |       528748 |
| Lars Antoon Machenil                | Chief Financial Officer               | 03/2012         | 01/2004              | NA - less than 5% |       452379 |
| Thomas Mennicken                    | Risk Principal                        | 06/2018         | 10/1994              | NA - less than 5% |       514511 |
| Alain Papiasse                      | Executive Advisor and Chairman of CIB | 04/2013         | 12/2004              | NA - less than 5% |       452377 |
| Daniela Schwarzer                   | Director                              | 05/2014         | 05/2014              | NA - less than 5% |       478488 |
| Juliette Brisac                     | Director                              | 05/2021         | 10/1989              | NA - less than 5% |       545301 |
| Yann Nicolas Gerardin               | Chief Operating Officer               | 05/2021         | 08/1987              | NA - less than 5% |       273111 |
| Thierry Alain Pierre Laborde        | Chief Operating Officer               | 05/2021         | 11/1982              | NA - less than 5% |       545296 |
| Christian Noyer                     | Director                              | 05/2021         | 05/2021              | NA - less than 5% |       545300 |
| Lieve Logghe                        | Director                              | 05/2022         | 05/2022              | NA - less than 5% |       550103 |
| Vanessa Lepoultier                  | Director                              | 03/2024         | 12/2005              | NA - less than 5% |       562328 |
| Marie Christine Lombard             | Director                              | 02/2024         | 02/2024              | NA - less than 5% |       561896 |
| Annemarie Straathof                 | Director                              | 07/2024         | 07/2024              | NA - less than 5% |       564668 |
| Guillaume Poupard                   | Director                              | 06/2025         | 06/2025              | NA - less than 5% |       571616 |
| Valerie Chort                       | Director                              | 06/2025         | 06/2025              | NA - less than 5% |       571633 |
| Bertrand de Mazieres                | Director                              | 06/2025         | 06/2025              | NA - less than 5% |       571637 |
| Nicolas Peter                       | Director                              | 06/2025         | 06/2025              | NA - less than 5% |       571627 |
| Aaron Rozenek                       | Principal                             | 05/2025         | 08/2021              | NA - less than 5% |       570900 |

### Schedule B: Explanations

**Description:**
BNPP SA is a global banking and financial services company that provides investment banking, asset management, and wealth management services for private, corporate, and institutional clients worldwide. It also operates with domestic Commercial, Personal Banking and Services in Europe, covering France, Belgium, Italy, and Luxembourg, as well as in the Americas and APAC region. BNPP has been provisionally registered with the CFTC as a swap dealer since Dec. 31, 2012. BNPP provides retail banking networks and specialized financial services, along with cash management, trade finance, and factoring services. BNPP's Corporate Banking group provides the following products and services to Corporate clients, globally: debt financing solutions and transaction banking solutions. BNPP SA also conducts non-securities transactions in Equity Derivatives, Prime Services and Financing, Primary and Credit Markets, G10 Rates, Commodity Derivatives, and FXLM.

**Onbehalf:**

- **Name:** ICE Clear Europe Limited

  - **Address:** 60 Chiswell Street, London, X0, EC1Y 4S

  - **Effective Date:** 10-25-2013

  - **Arrangement:** Provides clearing services for both Swaps and Security-Based Swaps

- **Name:** Chicago Mercantile Exhange

  - **Address:** 20 South Wacker Drive, Chicago, IL, 60606

  - **Effective Date:** 10-25-2013

  - **Arrangement:** Provides clearing services for both Swaps

- **Name:** ICE Clear Credit

  - **Address:** 353 North Clark Street, Suite 310D, Chicago, IL, 60654

  - **Effective Date:** 10-25-2013

  - **Arrangement:** Provides clearing services for both Swaps and Security-Based Swaps

- **Name:** LCH SA

  - **Address:** 18 rue du Quatre Septembre, Paris, I0, 750002

  - **Effective Date:** 10-25-2013

  - **Arrangement:** Provides clearing services for both Swaps and Security-Based Swaps

- **Name:** LCH LTD

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

  - **Effective Date:** 10-25-2013

  - **Arrangement:** Provides clearing services for Swaps

- **Name:** Eurex Clearing AG

  - **Address:** Mergenthalerallee 61, Eschborn, 2M, 65760

  - **Effective Date:** 01-01-2018

  - **Arrangement:** Provides clearing services for Swaps

**Controlling Entity:**

- **Name:** —

  - **Address:** —

  - **Effective Date:** —

  - **Arrangement:** Director and Chief Executive Officer

- **Name:** —

  - **Address:** —

  - **Effective Date:** —

  - **Arrangement:** Chief Operating Officer for CIB

- **Name:** —

  - **Address:** —

  - **Effective Date:** —

  - **Arrangement:** Chief Operating Officer of Commercial, Personal Banking and Services

### Execution

**Date:** 07-04-2025

**Name of Applicant:** BNP PARIBAS

**Signature:** Alain Papiasse

**Printed Name:** Alain Papiasse

**Title:** Executive Advisor and Chairman of CIB