# EDGAR Filing Document

**Accession Number:** 0000700880
**File Stem:** 0000700880-25-000013
**Filing Date:** 2025-12
**Character Count:** 7549
**Document Hash:** b82a10fd035775f609f6a0eda0330d31
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000700880-25-000013.hdr.sgml**: 20251219

**ACCESSION NUMBER**: 0000700880-25-000013

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

**PUBLIC DOCUMENT COUNT**: 18

**FILED AS OF DATE**: 20251217

**DATE AS OF CHANGE**: 20251219

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** STANDARD CHARTERED BANK
- **CENTRAL INDEX KEY:** 0000700880

**ORGANIZATION NAME:**
- **EIN:** 941595409
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00180
- **FILM NUMBER:** 251585254

**BUSINESS ADDRESS:**
- **STREET 1:** 1 BASINGHALL AVENUE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** EC2V 5DD
- **BUSINESS PHONE:** 212-667-0700

**MAIL ADDRESS:**
- **STREET 1:** 1095 AVENUE OF THE AMERICAS
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** STANDARD CHARTERED BANK LTD
- **DATE OF NAME CHANGE:** 19820305

### Attached PDF Documents

**Attachment 1:** `legalopino.pdf`

_No text found in this document._

**Attachment 2:** `Form7rorigdisclosurepage.pdf`

_No text found in this document._

**Attachment 3:** `postdisclpage.pdf`

_No text found in this document._

**Attachment 4:** `Form7Rorigdoc.pdf`

_No text found in this document._

**Attachment 5:** `Q13AScheduleB.II.pdf`

_No text found in this document._

**Attachment 6:** `ModificationtoCCO10.28.2022.pdf`

_No text found in this document._

**Attachment 7:** `Modification3.272023.pdf`

_No text found in this document._

**Attachment 8:** `UpdatedRegDec23.pdf`

_No text found in this document._

**Attachment 9:** `Modification02-02-2024.pdf`

_No text found in this document._

**Attachment 10:** `Modification05242024.pdf`

_No text found in this document._

**Attachment 11:** `Modification10092024.pdf`

_No text found in this document._

**Attachment 12:** `modification12272024.pdf`

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**Attachment 13:** `modification1.15.2025.pdf`

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**Attachment 14:** `modification1.3.2025.pdf`

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**Attachment 15:** `substitutecompliance.pdf`

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**Attachment 16:** `PrincipalUpdate4.8.2025.pdf`

_No text found in this document._

**Attachment 17:** `SCSubstitutedComp16Dec2025.pdf`

_No text found in this document._

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

### Applicant Information

**Full Applicant Name:** STANDARD CHARTERED BANK

**NFA Number:** 245409

**IRS Employer ID No.:** 94-1595409

**CIK:** 0000700880

**UIC:** RILFO74KP1CM8P6PCT96

**Main Address:** 1 BASINGHALL AVENUE, LONDON, X0, EC2V 5DD

**Mailing Address:** 1095 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036

**Business Telephone:** 212-667-0700

**Contact Employee:**

- **Name:** Tina Marie Cruz-Tillery

- **Title:** Director,Compliance, Registrations & Licensing,Americas

- **Phone:** 917-207-6362

- **Email:** tina.cruz@sc.com

**Chief Compliance Officer:**

- **Name:** Sadia Brigitte Fevrier Ricke

- **Title:** Group CRO incorporating COO Duties.

- **Phone:** 447785381269

- **Email:** Sadia.Ricke@sc.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:**
A dealer in swaps; makes a market in swaps; regularly enters into swaps with counterparties as an ordinary course of business for its own account; or engages in any activity causing the entity to be commonly known in the trade as a dealer or market maker in swaps (including security-based swaps).

### Control and History

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

**Does another entity hold funds on behalf of applicant?:** No

**Is control exercised through an agreement?:** No

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

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

**Subject to foreign regulation?:** Yes

**Number of Principals:** 10

### Schedule A: Principals

| Name                           | Title or Status                                 | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Anthony John Hall              | Global Head of Macro Trading                    | 08/2019         | 07/2019              | NA - less than 5% |       273069 |
| Sharad Piushbhai Desai         | Global Head of FM Sales and FI                  | 11/2019         | 09/2019              | NA - less than 5% |       526028 |
| Roberto Hoornweg               | Global Head, Financial Markets                  | 04/2017         | 01/2017              | NA - less than 5% |       233806 |
| William Thomas Winters         | GROUP CHIEF EXECUTIVE OFFICER                   | 06/2015         | 06/2015              | NA - less than 5% |       459195 |
| Sadia Brigitte Fevrier Ricke   | Group CRO incorporating COO Duties.             | 02/2023         | 02/2023              | NA - less than 5% |       555139 |
| Diego De Giorgi                | Group Chief Financial Officer                   | 01/2024         | 01/2024              | NA - less than 5% |       561460 |
| Sunil Kaushal                  | Chief Executive Officer-Co-Head, CIB            | 05/2024         | 04/2024              | NA - less than 5% |       563664 |
| Alison Mary Simmonds (Higgins) | Global Head of Control, Financial Markets       | 07/2024         | 06/2024              | NA - less than 5% |       565052 |
| Thomas Kikis                   | Global Co-Head, Corp Sales and Markets Head, US | 11/2024         | 11/2024              | NA - less than 5% |       566864 |
| Mandy J DeFilippo              | CEO, US and Americas                            | 03/2025         | 03/2025              | NA - less than 5% |       518146 |

### Schedule B: Explanations

**Description:**
Standard Chartered Bank (SCB) is the main operating entity of the Standard Chartered Group (which is an international banking organization with a presence in 59 of the world's most dynamic markets, serving clients in a further 85). Our purpose is to drive commerce and prosperity through our unique diversity, and our heritage and values are expressed in our brand promise, here for good. SCB is provisionally registered as a CFTC Swap Dealer and established its Swap-Dealer compliance program in 2013 when the CFTC rules came into effect. SCB has dedicated staff offering financial market products across FX, Rates, Credit, Commodities and Prime Brokerage to Financial Institution and International Corporate clients in our core markets. Swap transactions are primarily booked into SCB. Beyond financial markets activity, SCB is engaged in a broad suite of core international banking activities including but not limited to transaction banking, correspondent banking and retail banking operations.

**Records Keeper:**

- **Name:** Ernst & Young LLP

  - **Address:** 25 Churchill Place, Canary Wharf, London, X0, E14 5EY

  - **Effective Date:** 03-31-2020

  - **Arrangement:** Auditor

### Execution

**Date:** 12-17-2025

**Name of Applicant:** STANDARD CHARTERED BANK

**Signature:** Tina Cruz-Tillery

**Printed Name:** Tina Cruz-Tillery

**Title:** Director,Compliance, Registrations & Licensing,Americas