# EDGAR Filing Document

**Accession Number:** 0001062577
**File Stem:** 0001062577-25-000002
**Filing Date:** 2025-6
**Character Count:** 172842
**Document Hash:** 92d6d48fc50d8ac782cd9f1400acbb2c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062577-25-000002.hdr.sgml**: 20250606

**ACCESSION NUMBER**: 0001062577-25-000002

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

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20250605

**DATE AS OF CHANGE**: 20250606

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MERRILL LYNCH INTERNATIONAL
- **CENTRAL INDEX KEY:** 0001062577

**ORGANIZATION NAME:**
- **EIN:** 133779485
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00178
- **FILM NUMBER:** 251029727

**BUSINESS ADDRESS:**
- **STREET 1:** 2 KING EDWARD STREET
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** EC1A 1HQ
- **BUSINESS PHONE:** 212-449-1000

**MAIL ADDRESS:**
- **STREET 1:** 2 KING EDWARD STREET
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** EC1A 1HQ

### Attached PDF Documents

**Attachment 1:** `MLI7RforAmd20.pdf`

Merrill Lynch International
Form SBSE-A

Supplemental Filing Attachment:
7R Filing as of May 29, 2025

Page 1

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## 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

Page 2

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

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 19, 2012
Page 3

OMB Number 3038-0072
NFA ID 0289121 MERRILL LYNCH INTERNATIONAL
Submitted By WEEMST10 TERRY WEEMS

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.

Page 4

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## 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.

Page 5

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

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.

Page 6

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

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

Page 7

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

- 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

Page 8

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## 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.

Page 9

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

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

Page 10

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

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 19, 2012
Page 11

OMB Number 3038-0072
NFA ID 0289121 MERRILL LYNCH INTERNATIONAL
Submitted By WEEMST10 TERRY WEEMS

Form 8-W 0.1 hours.

Page 12

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072
NFA ID 0289121 MERRILL LYNCH INTERNATIONAL
Submitted By WEEMST10 TERRY WEEMS

## Registration Categories

NFA MEMBER
SWAP DEALER

## Membership Information

Not applicable.

Page 13

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Business Information

| Business Address | 2 KING EDWARD STREET LONDON, LONDON EC1A 1HQ UNITED KINGDOM |
| --- | --- |
| Phone Number | +44 20 7628 1000 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |
| Website / URL | Not provided. |
| Federal EIN | 13-3779482 |
| CRD ID | Not provided. |
| Form of Organization | OTHER |
| Location | UNITED KINGDOM |
| Other Names |  |

Page 14

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

# Location of Business Records

Business Records Address

2 KING EDWARD STREET

LONDON EC1A 1HQ

UNITED KINGDOM

U.S. Address for Production of Business Records

The office of NFA located in New York, NY,

Page 15

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

# Holding Company Information

Name: ML UK CAPITAL HOLDINGS

10% or more interest? YES

Page 16

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Regulator Information

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

UNITED KINGDOM: FINANCIAL SERVICES AUTHORITY

NETHERLANDS: THE NETHERLANDS AUTHORITY FOR THE FINANCIAL MARKETS (AFM)

DUBAI: DUBAI FINANCIAL SERVICES AUTHORITY (DFSA)

ITALY: COMMISSIONE NAZIONALE PER LE SOCIETÀ E LA BORSA (CONSOB)

PORTUGAL: BANK OF PORTUGAL

SWITZERLAND: SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA)

### U.S. Regulator(s)

None.

Page 17

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

# 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 19, 2012
Page 18

OMB Number 3038-0072
NFA ID 0289121 MERRILL LYNCH INTERNATIONAL
Submitted By WEEMST10 TERRY WEEMS

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?
NO

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?
N/A

Page 19

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## 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:

NO

- 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 19, 2012
Page 20

OMB Number 3038-0072
NFA ID 0289121 MERRILL LYNCH INTERNATIONAL
Submitted By WEEMST10 TERRY WEEMS

H. Are any of the orders or other agreements described in Question G currently in effect against the firm or sole proprietor?
NO

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?
NO

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

Page 21

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Financial Disclosures

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

J. Has the firm or sole proprietor ever been the subject of an *adversary action* brought by, or on behalf of, a bankruptcy trustee?
NO

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

Page 22

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

# Contact Information

## Registration Contact

JANE MICHAEL

VP/SENIOR REGISTRATION MANAGER

4802 DEER LAKE DR E

FL9-801-02-01

JACKSONVILLE, FL 32246

UNITED STATES

Phone: 904-218-4044

E-mail: JANE,R,MICHAEL@BANKOFAMERICA,COM

## Membership Contact

GENE PORTER

DIRECTOR/REGISTRATION EXECUTIVE

4802 DEER LAKE DR E

FL9-801-02-01

JACKSONVILLE, FL 32246

UNITED STATES

Phone: 904-218-4124

Fax: 704-409-1304

E-mail: GENE,E,PORTER@BANKOFAMERICA,COM

## Accounting Contact

KEITH PEARSON

MANAGING DIRECTOR/SENIOR FINANCE MANAGER

WARWICK COURT

2 KING EDWARD STREET

LONDON EC1A 1HQ

UNITED KINGDOM

Phone: +44-20-79960686

Fax: +44-20-79959639

E-mail: KEITH,PEARSON@BAML.COM

Page 23

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Arbitration Contact

SAJID HUSSEIN
ASSOCIATE GENERAL COUNSEL &amp; MD
2 KING EDWARD STREET
LONDON EC1A 1HQ
UNITED KINGDOM
Phone: +44-207-996-1165
Fax: +44-207-995-4115
E-mail: SAJID,HUSSEIN@BAML.COM

## Compliance Contact

KATHLEEN CAWLEY
DIRECTOR/GBAM COMPLIANCE EXECUTIVE
ONE BRYANT PARK
NY1-100-17-01
NEW YORK, NY 10036
UNITED STATES
Phone: 646-855-2264
Fax: 212-292-8944
E-mail: KATHY,CAWLEY@BANKOFAMERICA.COM

## Enforcement/Compliance Communication Contact

KATHLEEN CAWLEY
DIRECTOR/GBAM COMPLIANCE EXECUTIVE
ONE BRYANT PARK
NY1-100-17-01
NEW YORK, NY 10036
UNITED STATES
Phone: 646-855-2264
Fax: 212-292-8944
E-mail: KATHY,CAWLEY@BANKOFAMERICA.COM

Page 24

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Firm Certification Statement

BY FILING THIS FORM 7-R, THE APPLICANT AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S

certification that the answers and the information provided in the Form 7-R are true, complete and accurate and that in light of the circumstances under which the applicant has given them, the answers and statements in the Form 7-R are not misleading in any material respect;

certification that the person who electronically files the Form 7-R on behalf of the applicant is authorized by the applicant to file the Form 7-R and to make the certifications, representations, requests, acknowledgements, authorizations and agreements contained in this agreement;

certification that, if the applicant is an applicant for registration as an SD or MSP, the applicant undertakes that, no later than ninety (90) days following the date this Form 7-R is filed, it will be and shall remain in compliance with the requirement of Section 4s(b)(6) of the Act that, except to the extent otherwise specifically provided by rule, regulation or order, the applicant will not permit any person associated with it who is subject to a statutory disqualification to effect or be involved in effecting swaps on behalf of the applicant, if the applicant knows, or in the exercise of reasonable care should know, of the statutory disqualification. For the purpose of this certification, "statutory disqualification" refers to the matters addressed in Sections 8a(2) and 8a(3) of the Act and "person" means an "associated person of a swap dealer or major swap participant" as defined in Section 1a(4) of the Act and CFTC regulations thereunder;

acknowledgement that the applicant 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 Form 7-R;

acknowledgement that the applicant is responsible at all times for maintaining the information in the Form 7-R in a complete, accurate and current manner by electronically filing updates to the information contained therein;

acknowledgement that the applicant may not act as an FCM, RFED, IB, CPO, CTA or FT until registration has been granted, that the applicant may not act as a Forex Firm or Forex Dealer Member until approval as a Forex Firm or designation as an approved Forex Dealer Member has been granted and that the applicant may not act as a Swap Firm until approval as a Swap Firm has been granted; in the case of an IB, until registration or a temporary license has been granted; or in the case of an SD or MSP, until registration or provisional registration has been granted;

or until confirmation of exemption from registration as an IB, CPO or CTA pursuant to CFTC Regulation 30.5 is granted;

Page 25

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

authorization that NFA may conduct an investigation to determine the applicant's fitness for registration or for confirmation of exemption from registration as an IB, CPO and CTA pursuant to CFTC Regulation 30.5 and, if applicable, NFA membership and agreement to cooperate promptly and fully, consistent with applicable Federal law, in such investigation, which investigation may include contacting foreign regulatory and law enforcement authorities, including the submission of documents and information to NFA that NFA, in its discretion, may require in connection with the applicant's application for registration, confirmation of exemption from registration as an IB, CPO and CTA pursuant to CFTC Regulation 30.5 or NFA membership;

authorization and request that any person, including but not limited to contract markets, furnish upon request to NFA or any agent acting on behalf of NFA any information requested by NFA in connection with any investigation conducted by NFA to determine the applicant's fitness for registration or for confirmation of exemption from registration as an IB, CPO and CTA pursuant to CFTC Regulation 30.5;

agreement that any person furnishing information to NFA or any agent acting on behalf of NFA in connection with the investigation so authorized is released from any and all liability of whatever nature by reason of furnishing such information to NFA or any agent acting on behalf of NFA;

agreement that, if the applicant is a foreign applicant:

subject to any applicable blocking, privacy or secrecy laws, the applicant's books and records will be available for inspection by the CFTC, the U.S. Department of Justice ("DOJ") and NFA for purposes of determining compliance with the Act, CFTC Regulations and NFA Requirements;

subject to any applicable blocking, privacy or secrecy laws, such books and records will be produced on 72 hours notice at the location in the United States stated in the Form 7-R or, in the case of an IB, CPO or CTA confirmed as exempt from registration pursuant to CFTC Regulation 30.5, at the location specified by the CFTC or DOJ, provided, however, if the applicant is applying for registration as an FCM, SD, MSP or RFED, upon specific request, such books and records will be produced on 24 hours notice except for good cause shown;

the applicant will immediately notify NFA of any changes to the location in the United States where such books and records will be produced;

except as the applicant has otherwise informed the CFTC in writing, the applicant is not subject to any blocking, privacy or secrecy laws which would interfere with or create an obstacle to full inspection of the applicant's books and records by the CFTC, DOJ and NFA;

subject to any applicable blocking, privacy or secrecy laws, the failure to provide the CFTC,

Page 26

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

DOJ or NFA with access to its books and records in accordance with this agreement may be grounds for enforcement and disciplinary sanctions, denial, suspension or revocation of registration, withdrawal of confirmation of exemption from registration as an IB, CPO or CTA pursuant to CFTC Regulation 30.5, and denial, suspension or termination of NFA membership; and

subject to any applicable blocking, privacy or secrecy laws, the applicant for registration shall provide to NFA copies of any audit or disciplinary report related to the applicant for registration issued by any non-U.S. regulatory authority or non-U.S. self-regulatory organization and any required notice that the applicant for registration provides to any non-U.S. regulatory authority or non-U.S. self-regulatory organization and shall provide these copies both as part of this application and thereafter immediately upon the applicant for registration's receipt of any such report or provision of any such notice;

representation that if the applicant is an applicant for exemption from registration as an IB, CPO or CTA pursuant to CFTC Regulation 30.5;

the applicant does not act as an IB, CPO or CTA, respectively, in connection with trading on or subject to the rules of a designated contract market in the United States by, for or on behalf of any U.S. customer, client or pool;

the applicant irrevocably agrees to the jurisdiction of the Commission and state and federal courts located in the U.S. with respect to activities and transactions subject to Part 30 of the CFTC's regulations; and

the applicant would not be statutorily disqualified from registration under §8a(2) or §8a(3) of the Act and is not disqualified from registration pursuant to the laws or regulations of its home country;

an express agreement that, whenever admitted to NFA membership, the applicant and its employees shall become and remain bound by all NFA requirements, including without limitation all applicable NFA Bylaws, Compliance Rules, Financial Requirements, Registration Rules, Code of Arbitration and Member Arbitration Rules, as then and thereafter in effect, and that this agreement shall apply each time the applicant becomes a Member of NFA; and

if the applicant is applying for NFA membership, certification that the applicant has authorized the person filing this application for NFA membership to file it on the Applicant's behalf.

Page 27

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

# Confidential Matter Information

## Regulatory Disclosures

**Matter Name**
FINANCIAL SERVICES AUTHORITY; AUGUST 4, 2006

**Matter Details**
FROM SEPTEMBER 1996 TO DECEMBER 2001, MERRILL LYNCH INTERNATIONAL BREACHED SFA RULE 5.49 BY FAILING TO ACCURATELY REPORT THE CAPACITY IN WHICH IT EXECUTED TRANSACTIONS IN NON-UK EUROPEAN EQUITIES WHEN REPORTING TRANSACTIONS TO THE SFA. FROM DECEMBER 2001 UNTIL JANUARY 2006, MERRILL LYNCH INTERNATIONAL BREACHED FSA RULE SUP 17.6.2R BY FAILING TO ACCURATELY REPORT THE CAPACITY IN WHICH IT EXECUTED TRANSACTIONS IN NON-UK EUROPEAN EQUITIES WHEN REPORTING THE TRANSACTIONS TO THE FSA. MERRILL LYNCH INTERNATIONAL WAS FINED 150,000 IN BRITISH POUNDS. SEVERAL MITIGATING FACTORS WERE CONSIDERED BY THE FSA WHEN IMPOSING THEIR FINE: MERRILL LYNCH INTERNATIONAL REPORTED THIS MATTER TO THE FSA AND HAS COOPERATED FULLY WITH THE FSA IN RESPECT TO THIS MATTER. MERRILL LYNCH INTERNATIONAL HAS TAKEN SUBSTANTIAL STEPS TO IMPROVE ITS SYSTEMS AND CONTROLS TO ENSURE THAT GOING FORWARD TRANSACTION REPORTS ARE ACCURATE. THE FSA HAS STATED THAT MERRILL LYNCH INTERNATIONAL'S FAILURE WAS NOT DELIBERATE OR RECKLESS.

**Matter Name**
ITALIAN COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA; APPROX. JANUARY 10, 2008

**Matter Details**
ITALIAN COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA ("CONSOB") INVESTIGATED EVENTS OCCURRING BETWEEN APRIL 20, 2005 AND SEPTEMBER 20, 2005 REGARDING AN EQUITY SWAP AGREEMENT WHICH RESULTED IN MERRILL LYNCH INTERNATIONAL BECOMING THE LEGAL OWNER OF A MORE THAN 5 PERCENT HOLDING IN AN ITALIAN COMPANY WHICH WAS DEEMED UNDER ITALIAN LAW TO BE A SIGNIFICANT HOLDING FOR THE PURPOSES OF FULFILLING NOTIFICATION OBLIGATIONS PURSUANT TO THE FOLLOWING

Page 28

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

ITALIAN LEGISLATION: ARTICLES 120 OF LEGISLATIVE DECREE NO 58/98 AND 119 OF REGULATION NO. 11971/99 AND WAS ACCORDINGLY TO BE NOTIFIED IN ACCORDANCE WITH THE MANNER AND TERMS PROVIDED UNDER ARTICLE 121 OF SAID REGULATION. MERRILL LYNCH INTERNATIONAL WAS ORDERED TO PAY AN ADMINISTRATIVE FINE IN THE AMOUNT OF 250,000.00 EUROS (APPROXIMATELY USD$369,950.00). NOTE: DECISION WAS UNDATED. BASED UPON SUPPORTING DOCUMENTATION, WE BELIEVE THE DECISION WAS POSTED BY CONSOB ON THEIR WEBSITE ON OR ABOUT JANUARY 10, 2008.

NFA

# Business Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Name | MERRILL LYNCH INTERNATIONAL |
| --- | --- |
| Form of Organization | OTHER |
| Country | UNITED KINGDOM |
| Federal EIN | 133779482 |
| Business Address |  |
| Street Address 1 | 2 KING EDWARD STREET |
| City | LONDON |
| Province | LONDON |
| Zip/Postal Code | EC1A 1HQ |
| Country | UNITED KINGDOM |
| Phone Number | +44 20 7628 1000 |
| Fax Number | Not provided |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | 162416 |
|  | OTHER |
|  | F |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

Disciplinary Information - Criminal Disclosures

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

THE QUESTIONS ON THIS PAGE MUST BE ANSWERED "YES" 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 QUESTIONS MAY BE ANSWERED "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW.

For each matter that requires a "Yes" answer to Questions A, B or C below, a Criminal Disclosure Matter Page (DMP) must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any; and
- the date of the determination.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the charges:
- the classification of the offense, i.e., felony or misdemeanor;
- the plea, sentencing and probation information, as applicable;
- the final disposition; and
- a summary of the circumstances surrounding the criminal matter.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)
Page 1 of 2

Firm Application (Form 7-R) Viewed on October 21, 2021
NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Question A

Has the firm ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any U.S., non-U.S. or military court?

No

Question B

Has the firm ever pled guilty to or been convicted or found guilty of any *misdemeanor* in any U.S., non-U.S. or military court which involves:

- 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 U.S. Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or securities?

No

Question C

Is there a *charge pending*, the resolution of which could result in a "Yes" answer to the above questions?

No

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)
Page 2 of 2

NFA

Disciplinary Information - Financial Disclosures

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

For each matter that requires a "Yes" answer to Question J below, a Financial DMP must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any;
- the date of the determination; and
- a summary of the circumstances surrounding the financial matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the allegations; and
- the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

Question J

Has the firm ever been the subject of an *adversary action* brought by a U.S. bankruptcy trustee?

No

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)
Page 1 of 1

NFA

Disciplinary Information - Regulatory Disclosures

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

For each matter that requires a "Yes" answer to Questions D, E, F, G, H or I below, a Regulatory DMP must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any;
- the date of the determination; and
- a summary of the circumstances surrounding the regulatory matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the allegations; and
- the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)
Page 1 of 3

Firm Application (Form 7-R) Viewed on October 21, 2021
NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Question D

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has a court ever permanently or temporarily enjoined the firm 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:

- 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?

No

Question 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?

Yes

Question F

Has the firm ever been debarred by any agency of the U.S. from contracting with the U.S.?

No

Question G

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

No

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)
Page 2 of 3

Firm Application (Form 7-R) Viewed on October 21, 2021
NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Question H

Are any of the orders or other agreements described in Question G currently in effect against the firm?
No

Question I

Is the firm a party to any action, the resolution of which could result in a "Yes" answer to the above questions?
No

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)
Page 3 of 3

NFA

# Enforcement/Compliance Communication Contact Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| First Name | DAN DAN |
| --- | --- |
| Last Name | LIU |
| Title | DIRECTOR, COMPL & OP RISK MGR |
| Street Address 1 | ONE BRYANT PARK |
| Street Address 2 | NY1-100-36-15 |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10036 |
| Country | UNITED STATES |
| Phone | 646-855-2264 |
| Email | DANDAN.LIU2@BOFA.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Entity Profile Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Current Status Information

| Branch ID | Status | Effective Date |
| --- | --- | --- |
|  | NFA MEMBER APPROVED | 04/26/2013 |
|  | SWAP DEALER PROVISIONALLY REGISTERED | 12/31/2012 |
|  | EXEMPT FOREIGN FIRM APPROVED | 09/09/1998 |

## Status History Information

| Status | Effective Date |
| --- | --- |
| NFA MEMBER APPROVED | 04/26/2013 |
| SWAP DEALER PROVISIONALLY REGISTERED | 12/31/2012 |
| NFA MEMBER PENDING | 12/19/2012 |
| SWAP DEALER PENDING | 12/19/2012 |
| EXEMPT FOREIGN FIRM APPROVED | 09/09/1998 |
| EXEMPT FOREIGN FIRM PENDING | 07/24/1998 |

## Outstanding Requirements

Annual Due Date: 5/1/2022

4S SUBMISSIONS IN REVIEW

ANNUAL MEMBERSHIP DUES INSUFFICIENT FOR 2/1/2022

Disciplined Employee Summary

Page 1 of 1

NFA

# Exempt Foreign Firm Contact Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Exempt Foreign Firm Contact Address |  |
| --- | --- |
| First Name | CHARLES |
| Last Name | COLLINS |
| Title | DIRECTOR |
| Street Address 1 | GLOBAL BANKING & MARKETS-FUTURES COMPLIANCE |
| Street Address 2 | NY1-100-04-01 |
| Street Address 3 | BANK OF AMERICA TOWER ONE BRYANT PARK |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10036 |
| Country | UNITED STATES |
| Phone | 646 855 2806 |
| Email | CCOLLINS12@BOFA.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Location of Business Records

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Street Address 1 | 2 KING EDWARD STREET |
| --- | --- |
| City | LONDON |
| Province | LONDON |
| Zip/Postal Code | EC1A 1HQ |
| Country | UNITED KINGDOM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Membership Contact Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Membership Contact

First Name: JOHNESE
Last Name: PRICE JACKSON
Title: AVP BUSINESS CONTROL MGR
Street Address 1: 9000 SOUTHSIDE BLVD
Street Address 2: FL9-200-04-16
City: JACKSONVILLE
State (United States only): FLORIDA
Zip/Postal Code: 32256
Country: UNITED STATES
Phone: 904-218-4207
Email: JOHNESE.PRICE-JACKSON@BOFA.COM

## Accounting Contact

First Name: CHERI
Last Name: DELAPP
Title: AVP SR BUSINESS CONTROL SPECIALIST
Street Address 1: 9000 SOUTHSIDE BLVD
Street Address 2: FL9-200-04-16
City: JACKSONVILLE
State (United States only): FLORIDA
Zip/Postal Code: 32256
Country: UNITED STATES
Phone: 904-218-4053
Email: CHERI.DELAPP@BOFA.COM

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Arbitration Contact |  |
| --- | --- |
| First Name | BURKE |
| Last Name | SALLY |
| Title | ASSOCIATE GENERAL COUNSEL & MD |
| Street Address 1 | 2 KING EDWARD STREET |
| Street Address 2 | MAIL CD: 473-810-03-03 |
| City | LONDON |
| Zip/Postal Code | EC1A 1HQ |
| Country | UNITED KINGDOM |
| Phone | +44.20.7995.1875 |
| Fax | 704-409-0799 |
| Email | SALLY.BURKE@BOFA.COM |
| Compliance Contact |  |
| First Name | DAN DAN |
| Last Name | LIU |
| Title | DIRECOR, COMPL & OP RISK MGR |
| Street Address 1 | ONE BRYANT PARK |
| Street Address 2 | NY1-100-36-15 |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10036 |
| Country | UNITED STATES |
| Phone | 646-855-2264 |
| Email | DANDAN.LIU2@BOFA.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Chief Compliance Officer Contact |  |
| --- | --- |
| First Name | MARTIN |
| Last Name | HARRISON |
| Title | MANAGING DIR COMPL & OP RISK EXEC |
| Street Address 1 | 2 KING EDWARD ST |
| Street Address 2 | MAIL CD: 473-808-02-20 |
| City | LONDON |
| Zip/Postal Code | EC1A 1HQ |
| Country | UNITED KINGDOM |
| Phone | 011-44.20.7995.1749 |
| Email | M.C.HARRISON@BOFA.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Membership Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Indicate the category in which the Member intends to vote on NFA membership matters. SWAP DEALER

U.S. Regulator Information

Is the firm currently regulated by any of the regulators listed below? No

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)
Page 1 of 1

NFA

Non-U.S. Regulator Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

UNITED KINGDOM - FINANCIAL CONDUCT AUTHORITY; UNITED KINGDOM - PRUDENTIAL REGULATION AUTHORITY; NETHERLANDS - THE NETHERLANDS AUTHORITY FOR THE FINANCIAL MARKETS (AFM); DUBAI - DUBAI FINANCIAL SERVICES AUTHORITY (DFSA); ITALY - COMMISSIONE NAZIONALE PER LE SOCIETÀ E LA BORSA (CONSOB); PORTUGAL - BANK OF PORTUGAL; SWITZERLAND - SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA)

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

# Principal Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Individual Information

NFA ID 0454869
Name BUTLER, MARTIN
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-05-2013

NFA ID 0403734
Name CHAN, LAURIE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 11-09-2020

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-02-2018

NFA ID 0517391
Name DIAZ, PATRICIO JOSE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 05-09-2019

NFA ID 0533948
Name HARRISON, MARTIN
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 21, 2021
NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Effective Date | 02-12-2021 |
| --- | --- |
| NFA ID | 0506695 |
| Name | KEYS, RICHARD JOHN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-02-2017 |
| NFA ID | 0359936 |
| Name | MAGASINER, ANDREI GRISCHA |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-25-2016 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-02-2015 |
| NFA ID | 0518859 |
| Name | OFLYNN, PETER STUART |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-08-2019 |
| NFA ID | 0537189 |
| Name | ONEIL, HENRY JAMES |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-16-2021 |
| NFA ID | 0488315 |
| Name | SIMPSON, PAUL HOWARD |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Firm Application (Form 7-R) Viewed on October 21, 2021
NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

10% or More Interest
No
Status
APPROVED
Effective Date
08-31-2016

NFA ID
0532278
Name
SLOWEY, MARTINA
Title(s)
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
11-12-2020

NFA ID
0507499
Name
THORNE, ROSEMARY PRUDENCE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
08-29-2017

NFA ID
0522307
Name
WHITE, LESLEY MARGARET
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
06-03-2019

NFA ID
0496348
Name
WOODS, THOMAS DUNNE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
03-27-2020

Holding Company Information

NFA ID
0455945
Full Name
ML UK CAPITAL HOLDINGS LIMITED
10% or More Interest
Yes
Status
APPROVED
Effective Date
12-29-2012

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)
Page 3 of 3

NFA

# Registration Contact Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| First Name | JOHNESE |
| --- | --- |
| Last Name | PRICE JACKSON |
| Title | AVP BUSINESS CONTROL MGR |
| Street Address 1 | 9000 SOUTHSIDE BLVD |
| Street Address 2 | FL9-200-04-16 |
| City | JACKSONVILLE |
| State (United States only) | FLORIDA |
| Zip/Postal Code | 32256 |
| Country | UNITED STATES |
| Phone | 904-218-4207 |
| Email | JOHNESE.PRICE-JACKSON@BOFA.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

NFA

U.S. Address for the Production of Business Records

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Office of NFA located in New York, NY

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Online Registration System

Disciplinary Information - Firm Regulatory Disclosure Matter Page

# NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

☑ Back to Summary
☐ Amend

# Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: ☑ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

# Regulatory Case Information

## REGULATORY INFORMATION

☑ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

## CASE INFORMATION

☑ Case Number:
☑ Case Status:
☑ Were any of the following sanctions imposed?:

# Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

ITALIAN COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA ("CONSOB") INVESTIGATED EVENTS OCCURRING BETWEEN APRIL 20, 2005 AND SEPTEMBER 20, 2005 REGARDING AN EQUITY SWAP AGREEMENT

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN...

10/21/2021

Page 2 of 2

WHICH RESULTED IN MERRILL LYNCH INTERNATIONAL BECOMING THE LEGAL OWNER OF A MORE THAN 5 PERCENT HOLDING IN AN ITALIAN COMPANY WHICH WAS DEEMED UNDER ITALIAN LAW TO BE A SIGNIFICANT HOLDING FOR THE PURPOSES OF FULFILLING NOTIFICATION OBLIGATIONS PURSUANT TO THE FOLLOWING ITALIAN LEGISLATION: ARTICLES 120 OF LEGISLATIVE DECREE NO 58/98 AND 119 OF REGULATION NO. 11971/99 AND WAS ACCORDINGLY TO BE NOTIFIED IN ACCORDANCE WITH THE MANNER AND TERMS PROVIDED UNDER ARTICLE 121 OF SAID REGULATION. MERRILL LYNCH INTERNATIONAL WAS ORDERED TO PAY AN ADMINISTRATIVE FINE IN THE AMOUNT OF 250,000.00 EUROS (APPROXIMATELY USD$369,950.00). NOTE: DECISION WAS UNDATED. BASED UPON SUPPORTING DOCUMENTATION, WE BELIEVE THE DECISION WAS POSTED BY CONSIGN ON THEIR WEBSITE ON OR ABOUT JANUARY 10, 2008.

## Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

[Back to Summary]

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN... 10/21/2021

Online Registration System

Disciplinary Information - Firm Regulatory Disclosure Matter Page

# NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

☑ Back to Summary
☐ Amend

# Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: ☑ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

# Regulatory Case Information

## REGULATORY INFORMATION

☑ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

## CASE INFORMATION

☑ Case Number:
☑ Case Status:
☑ Were any of the following sanctions imposed?:

# Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

FROM SEPTEMBER 1996 TO DECEMBER 2001, MERRILL LYNCH INTERNATIONAL BREACHED SFA RULE 5.49 BY FAILING TO ACCURATELY REPORT THE CAPACITY IN WHICH IT EXECUTED TRANSACTIONS IN NON-UK

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN...

10/21/2021

Page 2 of 2

EUROPEAN EQUITIES WHEN REPORTING TRANSACTIONS TO THE SFA. FROM DECEMBER 2001 UNTIL JANUARY 2006, MERRILL LYNCH INTERNATIONAL BREACHED FSA RULE SUP 17.6.2R BY FAILING TO ACCURATELY REPORT THE CAPACITY IN WHICH IT EXECUTED TRANSACTIONS IN NON-UK EUROPEAN EQUITIES WHEN REPORTING THE TRANSACTIONS TO THE FSA. MERRILL LYNCH INTERNATIONAL WAS FINED 150,000 IN BRITISH POUNDS. SEVERAL MITIGATING FACTORS WERE CONSIDERED BY THE FSA WHEN IMPOSING THEIR FINE. MERRILL LYNCH INTERNATIONAL REPORTED THIS MATTER TO THE FSA AND HAS COOPERATED FULLY WITH THE FSA IN RESPECT TO THIS MATTER. MERRILL LYNCH INTERNATIONAL HAS TAKEN SUBSTANTIAL STEPS TO IMPROVE ITS SYSTEMS AND CONTROLS TO ENSURE THAT GOING FORWARD TRANSACTION REPORTS ARE ACCURATE. THE FSA HAS STATED THAT MERRILL LYNCH INTERNATIONAL'S FAILURE WAS NOT DELIBERATE OR RECKLESS.

## Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

[Back to Summary](Back to Summary)

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN... 10/21/2021

Online Registration System

Disciplinary Information - Firm Regulatory Disclosure Matter Page

# NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

☑ Back to Summary
☐ Amend

# Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: ☑ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

# Regulatory Case Information

## REGULATORY INFORMATION

☑ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

## CASE INFORMATION

☑ Case Number:
☑ Case Status:
☑ Were any of the following sanctions imposed?:

# Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

THE SECURITIES AND FUTURES COMMISSION OF HONG KONG ("SFC") ALLEGED THAT BANK OF AMERICA, NATIONAL ASSOCIATION AND MERRILL LYNCH INTERNATIONAL (COLLECTIVELY, THE "RESPONDENTS")

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN...

10/21/2021

Page 2 of 2

FAILED TO DISCLOSE DEALINGS IN RELEVANT SECURITIES IN TWO TRANSACTIONS IN 2015 AS REQUIRED BY THE HONG KONG CODE ON TAKEOVERS AND MERGERS. THE SFC PUBLICLY CENSURED THE RESPONDENTS.

## Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

[Back to Summary](Back to Summary)

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN... 10/21/2021

Online Registration System

Disciplinary Information - Firm Regulatory Disclosure Matter Page

# NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

☑ Back to Summary
☐ Amend

# Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: ☑ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

# Regulatory Case Information

## REGULATORY INFORMATION

☑ Regulatory/Civil Action initiated by:
Name of Regulatory Body:

## CASE INFORMATION

☑ Case Number:
☑ Case Status:
☑ Were any of the following sanctions imposed?:

# Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

DUE TO A BOOKING ERROR ON A BLOCK OF KOREA EXCHANGE (KRX) LISTED ORDINARY SHARES MERRILL LYNCH INTERNATIONAL (MLI) WAS ENTITLED TO RECEIVE, A POSITION WAS DOUBLE BOOKED AND MLI SOLD

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN...

10/21/2021

Page 2 of 2

MORE SHARES THAN IT HAD IN INVENTORY. THIS RESULTED IN MLI SELLING SHORT IN THE MARKET WITHOUT SUFFICIENT INVENTORY TO MEET SETTLEMENT OBLIGATIONS IN VIOLATION OF KRX LOCAL SHORT SALE REGULATIONS. AHEAD OF THE SETTLEMENT, MLI ARRANGED A BORROW TO ALLOW THE TRADE SETTLEMENT. THE KRX REPORTED THE MATTER TO THE FINANCIAL SUPERVISORY SERVICE. MLI WAS ISSUED A CAUTION.

## Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

[Back to Summary](Back to Summary)

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN... 10/21/2021

Online Registration System

Disciplinary Information - Firm Regulatory Disclosure Matter Page

# NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

☑ Back to Summary
☐ Amend

# Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: ☑ Show Questions

☐ D ☐ E ☐ F ☐ G ☐ H ☑ I

# Regulatory Case Information

## REGULATORY INFORMATION

☑ Regulatory/Civil Action initiated by:
NON-U.S. REGULATOR Name of Regulatory Body: BARI, PUGLIA, ITALY PUBLIC PROSECUTOR

## CASE INFORMATION

☑ Case Number: PROCEEDING NUMBER 7311-2009 (PROSECUTOR REGISTRAR)
☑ Case Status: FINAL
☑ Date Resolved:
MARCH 2020
☑ Were any of the following sanctions imposed?:
Other: ACQUITTED

# Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN...

10/21/2021

Page 2 of 2

ON FEBRUARY 3, 2010, MERRILL LYNCH INTERNATIONAL ("MLI") WAS NOTIFIED THAT IT WAS UNDER INVESTIGATION BY THE PUBLIC PROSECUTOR IN BARI, PUGLIA, ITALY ON THE GROUNDS THAT MLI MIGHT BE SUBJECT TO PENALTIES, INCLUDING BUT NOT LIMITED TO, CIVIL MONETARY FINES AND DISGORGEMENT, FOR NOT HAVING THE CORRECT ORGANIZATIONAL STRUCTURE IN PLACE IN CONNECTION WITH THE PUBLIC PROSECUTOR'S ALLEGATIONS OF FRAUDULENT CONDUCT BY AN EMPLOYEE AGAINST THE REGION OF PUGLIA IN CONNECTION WITH (I) A BOND ISSUE BY THE REGION OF PUGLIA IN 2003 IN WHICH MLI ACTED AS LEAD MANAGER AND BOOKRUNNER, AND A RELATED SWAP TRANSACTION IN WHICH MLIB WAS THE COUNTERPARTY AND (II) A FURTHER BOND ISSUE BY THE REGION OF PUGLIA IN 2004 IN WHICH MLI WAS JOINT LEAD MANAGER AND BOOKRUNNER, AND A RELATED RESTRUCTURING OF THE ORIGINAL SWAP TRANSACTION (TOGETHER, THE TRANSACTIONS"). THE ALLEGED FRAUDULENT CONDUCT OF THE EMPLOYEE INVOLVES, AMONG OTHER THINGS, ALLEGED FALSE REPRESENTATIONS AND ALLEGED BREACH OF AN ALLEGED DUTY TO ACT WITH DILIGENCE, FAIRNESS AND TRANSPARENCY. THE DETERMINATION WAS MADE BY THE PRELIMINARY JUDGE TO REFER THIS MATTER TO TRIAL ON 14 OCTOBER 2014. THE JUDGE OF THE COURT OF BARI ACQUITTED THE INDIVIDUAL DEFENDANTS AND FOUND MLI NOT LIABLE ADMINISTRATIVELY. THE JUDGEMENT WAS ISSUED ON MARCH 19, 2020 AND THE APPEAL PERIOD CLOSED JULY 2020.

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

&lt; Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN... 10/21/2021

Online Registration System

Disciplinary Information - Firm Regulatory Disclosure Matter Page

# NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

☑ Back to Summary
☐ Amend

# Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: ☑ Show Questions

☐ D ☑ E ☐ F ☐ G ☐ H ☐ I

# Regulatory Case Information

## REGULATORY INFORMATION

☑ Regulatory/Civil Action initiated by:
NON-U.S. REGULATOR Name of Regulatory Body: HELLENIC CAPITAL MARKET COMMISSION

## CASE INFORMATION

☑ Case Number: DECISION NO. 6/897/20.11.2020
☑ Case Status: FINAL
☑ Date Resolved:
APRIL 2021
☑ Were any of the following sanctions imposed?:
Other: MONETARY FINE

# Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN...

10/21/2021

Page 2 of 2

On April 19, 2021, Merrill Lynch International ("MLI") was notified that the Board of Directors of the Hellenic Capital Market Commission issued a Decision alleging that MLI violated Article 12 § 1(b) of Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps, as specified in the preamble (recital 8) in conjunction with article 5 § 1(c) of Commission Implementing Regulation (EU) No 827/2012, in connection with certain short sales and ordering MLI to pay a fine in the amount of EUR 238,436.00 (approximately USD 289,309.00). If MLI accepts the Decision and pays the fine within two months, the fine is reduced by 20 percent.

## Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

Show ☐ All ☑ entries

Search:

| Description | Uploaded File |
| --- | --- |
| FINAL DECISION | MLI HCMC Final Decision 41921.pdf |

☐ Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN... 10/21/2021

Online Registration System

Disciplinary Information - Firm Regulatory Disclosure Matter Page

# NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

All the DMP section data has been loaded.

Please file a separate Disclosure Matter Page (DMP) for each regulatory action. A regulatory action may be reportable under more than one regulatory disclosure question. If the same conduct/event resulted in more than one regulatory action, provide details for each action on a separate DMP.

☑ Back to Summary
☐ Amend

# Disclosure Questions

Completing this section does not update answer(s) to the Regulatory Disclosure question(s). To update the Regulatory Disclosure questions, click the appropriate link on the Update/Withdraw Registration Information Menu.

Check the question(s) you are disclosing the regulatory action under: ☑ Show Questions

☐ D ☑ E ☐ F ☐ G ☐ H ☐ I

# Regulatory Case Information

## REGULATORY INFORMATION

1. Regulatory/Civil Action initiated by:
NON-U.S. REGULATOR. Name of Regulatory Body: CAPITAL MARKETS BOARD OF TURKEY

## CASE INFORMATION

2. Case Number: DECISION NO. 17/555
3. Case Status: FINAL
4. Date Resolved:
APRIL 2021
5. Were any of the following sanctions imposed?:
Other: MONETARY FINE

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN... 10/21/2021

Page 2 of 2

# Comments

Use this field to provide a summary of the circumstances surrounding the action and/or additional sanction information.

On April 22, 2021, Merrill Lynch International ("MLI") was notified that the Capital Markets Board of Turkey ("CMB") issued a Decision alleging that MLI engaged in unlawful short selling in violation of articles 24 and 28 of the Communique Serial V, No. 65 on "Margin Purchase Short Sale Borrowing and Lending of Capital Market Instruments." In connection with the Decision, the CMB ordered MLI to pay a fine in the amount of TRY 6,321,045 (approximately USD 780,000). If MLI pays the fine within two months, the fine is reduced by 25 percent.

# Supporting Documentation

You must provide NFA with supporting documentation if not previously submitted. This includes but is not limited to the complaint, settlement offer and final order/judgment.

To upload supporting documentation, click the 'Add Document' button. Only .pdf, .doc, .docx, .txt, and .tif document types are allowed. In lieu of attaching supporting documentation, you may email the supporting documentation to registration@nfa.futures.org, fax it to 312-559-3411, or mail it to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, Illinois 60606. If submitting documents by mail, email or fax, please include the name and NFA ID of the firm with the submission.

Show ☐ All ☑ entries

Search:

| Description | Uploaded File |
| --- | --- |
| ENGLISH TRANSLATION OF DECISION | merilllynchadminfinetranslation.pdf |

✓ Back to Summary

https://www.nfa.futures.org/ORS/DMP/Firm/Regulatory.aspx?NFAID=0289121&amp;dmpN... 10/21/2021

# Merrill Lynch International

7R updated Principals as of December 27, 2021

NFA

# Principal Information

Viewed on December 23, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Individual Information

NFA ID 0454869
Name BUTLER, MARTIN
TItle(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-05-2013

NFA ID 0403734
Name CHAN, LAURIE
TItle(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 11-09-2020

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
TItle(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-02-2018

NFA ID 0517391
Name DIAZ, PATRICIO JOSE
TItle(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 05-09-2019

NFA ID 0533948
Name HARRISON, MARTIN
TItle(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Viewed on December 23, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Effective Date | 02-12-2021 |
| --- | --- |
| NFA ID | 0506695 |
| Name | KEYS, RICHARD JOHN |
| TItle(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-02-2017 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| TItle(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | PENDING |
| Effective Date | 12-14-2021 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| TItle(s) | DIRECTOR |
|  | CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-02-2015 |
| NFA ID | 0518859 |
| Name | OFLYNN, PETER STUART |
| TItle(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-08-2019 |
| NFA ID | 0537189 |
| Name | ONEIL, HENRY JAMES |
| TItle(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-16-2021 |
| NFA ID | 0532278 |
| Name | SLOWEY, MARTINA |
| TItle(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Viewed on December 23, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

10% or More Interest
No
Status
APPROVED
Effective Date
11-12-2020

NFA ID
0507499
Name
THORNE, ROSEMARY PRUDENCE
TItle(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
08-29-2017

NFA ID
0522307
Name
WHITE, LESLEY MARGARET
TItle(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
06-03-2019

NFA ID
0496348
Name
WOODS, THOMAS DUNNE
TItle(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
03-27-2020

NFA ID
0544284
Name
YUNG, SUSAN
TItle(s)
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
12-23-2021

## Holding Company Information

NFA ID
0455945
Full Name
ML UK CAPITAL HOLDINGS LIMITED
10% or More Interest
Yes
Status
APPROVED
Effective Date
12-29-2012

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Merrill Lynch International

7R updated Principals as of February 1, 2022

NFA

# Principal Information

Viewed on February 01, 2022

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Individual Information

NFA ID 0454869
Name BUTLER, MARTIN
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-05-2013

NFA ID 0403734
Name CHAN, LAURIE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 11-09-2020

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-02-2018

NFA ID 0517391
Name DIAZ, PATRICIO JOSE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 05-09-2019

NFA ID 0533948
Name HARRISON, MARTIN
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Viewed on February 01, 2022

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Effective Date | 02-12-2021 |
| --- | --- |
| NFA ID | 0506695 |
| Name | KEYS, RICHARD JOHN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-02-2017 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-19-2022 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR |
|  | CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-02-2015 |
| NFA ID | 0518859 |
| Name | OFLYNN, PETER STUART |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-08-2019 |
| NFA ID | 0537189 |
| Name | ONEIL, HENRY JAMES |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-16-2021 |
| NFA ID | 0532278 |
| Name | SLOWEY, MARTINA |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Viewed on February 01, 2022

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

10% or More Interest
No
Status
APPROVED
Effective Date
11-12-2020

NFA ID
0507499
Name
THORNE, ROSEMARY PRUDENCE
TItle(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
08-29-2017

NFA ID
0522307
Name
WHITE, LESLEY MARGARET
TItle(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
06-03-2019

NFA ID
0496348
Name
WOODS, THOMAS DUNNE
TItle(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
03-27-2020

NFA ID
0544284
Name
YUNG, SUSAN
TItle(s)
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
12-23-2021

## Holding Company Information

NFA ID
0455945
Full Name
ML UK CAPITAL HOLDINGS LIMITED
10% or More Interest
Yes
Status
APPROVED
Effective Date
12-29-2012

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Merrill Lynch International

7R updated Principals as of December 20, 2022

NFA

# Principal Information

Viewed on December 13, 2022

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Individual Information

NFA ID 0454869
Name BUTLER, MARTIN
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-05-2013

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-02-2018

NFA ID 0517391
Name DIAZ, PATRICIO JOSE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 05-09-2019

NFA ID 0506695
Name KEYS, RICHARD JOHN
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 08-02-2017

NFA ID 0519761
Name LILLY, SHANNON LEON
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Viewed on December 13, 2022

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Effective Date | 01-19-2022 |
| --- | --- |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-02-2015 |
| NFA ID | 0518859 |
| Name | OFLYNN, PETER STUART |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-08-2019 |
| NFA ID | 0537189 |
| Name | ONEIL, HENRY JAMES |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-16-2021 |
| NFA ID | 0549875 |
| Name | PELLEGRINI, JOHN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-28-2022 |
| NFA ID | 0552763 |
| Name | SHAH, NAVEED |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-25-2022 |
| NFA ID | 0532278 |
| Name | SLOWEY, MARTINA |
| Title(s) | DIRECTOR |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Viewed on December 13, 2022

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

|  | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| --- | --- |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-12-2020 |
| NFA ID | 0507499 |
| Name | THORNE, ROSEMARY PRUDENCE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-29-2017 |
| NFA ID | 0496348 |
| Name | WOODS, THOMAS DUNNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-27-2020 |
| NFA ID | 0544284 |
| Name | YUNG, SUSAN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-23-2021 |
| Holding Company Information |  |
| NFA ID | 0455945 |
| Full Name | ML UK CAPITAL HOLDINGS LIMITED |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 12-29-2012 |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Merrill Lynch International

7R updated Principals as of April 5, 2023

NFA

# Principal Information

Viewed on March 29, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Individual Information

NFA ID 0454869
Name BUTLER, MARTIN
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-05-2013

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-02-2018

NFA ID 0517391
Name DIAZ, PATRICIO JOSE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 05-09-2019

NFA ID 0506695
Name KEYS, RICHARD JOHN
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 08-02-2017

NFA ID 0519761
Name LILLY, SHANNON LEON
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Viewed on March 29, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Effective Date | 01-19-2022 |
| --- | --- |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-02-2015 |
| NFA ID | 0518859 |
| Name | OFLYNN, PETER STUART |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-08-2019 |
| NFA ID | 0537189 |
| Name | ONEIL, HENRY JAMES |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-16-2021 |
| NFA ID | 0549875 |
| Name | PELLEGRINI, JOHN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-28-2022 |
| NFA ID | 0444710 |
| Name | PETERS, CHARLES |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-23-2023 |
| NFA ID | 0552763 |
| Name | SHAH, NAVEED |
| Title(s) | CHIEF COMPLIANCE OFFICER |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Viewed on March 29, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

10% or More Interest
No
Status
APPROVED
Effective Date
11-25-2022

NFA ID
0532278
Name
SLOWEY, MARTINA
Title(s)
DIRECTOR
HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION
No
10% or More Interest
No
Status
APPROVED
Effective Date
11-12-2020

NFA ID
0507499
Name
THORNE, ROSEMARY PRUDENCE
Title(s)
DIRECTOR
No
10% or More Interest
No
Status
APPROVED
Effective Date
08-29-2017

NFA ID
0496348
Name
WOODS, THOMAS DUNNE
Title(s)
DIRECTOR
No
10% or More Interest
No
Status
APPROVED
Effective Date
03-27-2020

NFA ID
0544284
Name
YUNG, SUSAN
Title(s)
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
No
10% or More Interest
No
Status
APPROVED
Effective Date
12-23-2021

Holding Company Information

NFA ID
0455945
Full Name
ML UK CAPITAL HOLDINGS LIMITED
10% or More Interest
Yes
Status
APPROVED
Effective Date
12-29-2012

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Merrill Lynch International

7R updated Principals as of May 23, 2023

NFA

# Principal Information

Viewed on May 18, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Individual Information

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-02-2018

NFA ID 0517391
Name DIAZ, PATRICIO JOSE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 05-09-2019

NFA ID 0506695
Name KEYS, RICHARD JOHN
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 08-02-2017

NFA ID 0519761
Name LILLY, SHANNON LEON
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 01-19-2022

NFA ID 0487786
Name MENSAH, BERNARD AMPONSAH
Title(s) DIRECTOR
CHIEF EXECUTIVE OFFICER
10% or More Interest No
Status APPROVED

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Viewed on May 18, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Effective Date | 07-02-2015 |
| --- | --- |
| NFA ID | 0518859 |
| Name | OFLYNN, PETER STUART |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-08-2019 |
| NFA ID | 0537189 |
| Name | ONEIL, HENRY JAMES |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-16-2021 |
| NFA ID | 0549875 |
| Name | PELLEGRINI, JOHN |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-28-2022 |
| NFA ID | 0444710 |
| Name | PETERS, CHARLES |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-23-2023 |
| NFA ID | 0552763 |
| Name | SHAH, NAVEED |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-25-2022 |
| NFA ID | 0532278 |
| Name | SLOWEY, MARTINA |
| Title(s) | DIRECTOR |
|  | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Viewed on May 18, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

10% or More Interest
No
Status
APPROVED
Effective Date
11-12-2020

NFA ID
0507499
Name
THORNE, ROSEMARY PRUDENCE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
08-29-2017

NFA ID
0496348
Name
WOODS, THOMAS DUNNE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
03-27-2020

NFA ID
0544284
Name
YUNG, SUSAN
Title(s)
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
12-23-2021

Holding Company Information

NFA ID
0455945
Full Name
ML UK CAPITAL HOLDINGS LIMITED
10% or More Interest
Yes
Status
APPROVED
Effective Date
12-29-2012

OMB Numbers 3038-0023 (exp. September 30, 2023) &amp; 3038-0072 (exp. September 30, 2023)

Merrill Lynch International

7R updated Principals as of October 9, 2023

To make changes click Update.

Update

# Individual Information

Total Individual Principals: 14

Filter By: Choose a filter... ☑

```html

| 0506695 | KEYS. RICHARD JOHN | DIRECTOR | N | APPROVED | 08-02-2017 |
| --- | --- | --- | --- | --- | --- |
| 0519761 | LILLY. SHANNON LEON | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION | N | APPROVED | 01-19-2022 |
| 0487786 | MENSAH. BERNARD AMPONSAH | DIRECTOR CHIEF EXECUTIVE OFFICER | N | APPROVED | 07-02-2015 |
| 0518859 | OFLYNN, PETER STUART | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION | N | APPROVED | 02-08-2019 |
| 0537189 | ONEIL, HENRY JAMES | DIRECTOR | N | APPROVED | 03-16-2021 |
| 0549875 | PELLEGRINI. JOHN | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION | N | APPROVED | 09-28-2022 |
| 0444710 | PETERS. CHARLES | CHIEF FINANCIAL OFFICER | N | APPROVED | 03-23-2023 |
| 0558757 | SADARANGANI. DINESH BHAGWAN | CHIEF COMPLIANCE OFFICER | N | APPROVED | 09-19-2023 |
| 0532278 | SLOWEY. MARTINA | DIRECTOR HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION | N | APPROVED | 11-12-2020 |
| 0507499 | THORNE. ROSEMARY PRUDENCE | DIRECTOR | N | APPROVED | 08-29-2017 |
| 0496348 | WOODS. THOMAS DUNNE | DIRECTOR | N | APPROVED | 03-27-2020 |
| 0544284 | YUNG, SUSAN | HEAD OF A BUSINESS | N | APPROVED | 12-23-2021 |

Merrill Lynch International

7R updated Principals as of December 18, 2023

NFA

# Principal Information

Viewed on December 15, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Individual Information

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-02-2018

NFA ID 0517391
Name DIAZ, PATRICIO JOSE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 05-09-2019

NFA ID 0506695
Name KEYS, RICHARD JOHN
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 08-02-2017

NFA ID 0519761
Name LILLY, SHANNON LEON
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 01-19-2022

NFA ID 0487786
Name MENSAH, BERNARD AMPONSAH
Title(s) DIRECTOR
CHIEF EXECUTIVE OFFICER
10% or More Interest No
Status APPROVED

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)

Viewed on December 15, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Effective Date | 07-02-2015 |
| --- | --- |
| NFA ID | 0518859 |
| Name | OFLYNN, PETER STUART |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-08-2019 |
| NFA ID | 0537189 |
| Name | ONEIL, HENRY JAMES |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-16-2021 |
| NFA ID | 0444710 |
| Name | PETERS, CHARLES |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-23-2023 |
| NFA ID | 0553692 |
| Name | ROMANO, ROBERT JEFFREY |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-16-2023 |
| NFA ID | 0558757 |
| Name | SADARANGANI, DINESH BHAGWAN |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-19-2023 |
| NFA ID | 0532278 |
| Name | SLOWEY, MARTINA |
| Title(s) | DIRECTOR |
|  | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)

Viewed on December 15, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

10% or More Interest
No
Status
APPROVED
Effective Date
11-12-2020

NFA ID
0560329
Name
SPELL, DOUGLAS CHARLES
Title(s)
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
PENDING
Effective Date
12-15-2023

NFA ID
0507499
Name
THORNE, ROSEMARY PRUDENCE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
08-29-2017

NFA ID
0496348
Name
WOODS, THOMAS DUNNE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
03-27-2020

Holding Company Information

NFA ID
0560123
Full Name
BOFAML EMEA HOLDINGS 2 LIMITED
10% or More Interest
Yes
Status
APPROVED
Effective Date
11-17-2023

NFA ID
0560124
Full Name
BOFAML JERSEY HOLDINGS LIMITED
10% or More Interest
Yes
Status
APPROVED
Effective Date
11-16-2023

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)

# Merrill Lynch International

7R updated Holding Company Information as of December 18, 2023

11/14/23, 11:57 AM
Online Registration System - Registration Information Change
OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

HOLDING COMPANY DELETED FOR ID 0455945

NFA ID: 0455945 ML UK CAPITAL HOLDINGS LIMITED
10% OR MORE INTEREST: YES
FILED BY: CHERI DELAPP - DELAPPC8
FILED ON: 11/14/2023 10:53:45 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.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy
© 2002-2023 National Futures Association
https://www.nfa.futures.org/eReg/View/PrintDetail.asp?changeTypeCode=1062&amp;formSeqNum=1486905&amp;appendChangeText=0455945&amp;changeType...

Holding Company
COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION

Filed on November 14, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL
Submitted by CHERI DELAPP (DELAPPC8)

# Holding Company Information

NFA ID
NOT ASSIGNED

Full Name
BOFAML EMEA HOLDINGS 2 LIMITED

10% or More Interest
Yes

Country
JERSEY ISLAND

NFA ID
NOT ASSIGNED

Full Name
BOFAML JERSEY HOLDINGS LIMITED

10% or More Interest
Yes

Country
JERSEY ISLAND

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)
Page 1 of 2

Holding Company Filed on November 14, 2023

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Registration Certification Statement

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.

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)
Page 2 of 2

Merrill Lynch International

7R updated Principals as of May 30, 2024

NFA

# Principal Information

Viewed on May 28, 2024

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Individual Information

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-02-2018

NFA ID 0517391
Name DIAZ, PATRICIO JOSE
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 05-09-2019

NFA ID 0563715
Name FRANCIS, CLARE LOUISE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 05-24-2024

NFA ID 0506695
Name KEYS, RICHARD JOHN
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 08-02-2017

NFA ID 0519761
Name LILLY, SHANNON LEON
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 01-19-2022

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)

Viewed on May 28, 2024

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

NFA ID
0487786
Name
MENSAH, BERNARD AMPONSAH
Title(s)
DIRECTOR
CHIEF EXECUTIVE OFFICER
10% or More Interest
No
Status
APPROVED
Effective Date
07-02-2015

NFA ID
0518859
Name
OFLYNN, PETER STUART
Title(s)
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
02-08-2019

NFA ID
0537189
Name
ONEIL, HENRY JAMES
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
03-16-2021

NFA ID
0444710
Name
PETERS, CHARLES
Title(s)
CHIEF FINANCIAL OFFICER
10% or More Interest
No
Status
APPROVED
Effective Date
03-23-2023

NFA ID
0553692
Name
ROMANO, ROBERT JEFFREY
Title(s)
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
11-16-2023

NFA ID
0558757
Name
SADARANGANI, DINESH BHAGWAN
Title(s)
CHIEF COMPLIANCE OFFICER
10% or More Interest
No

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)

Viewed on May 28, 2024

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Status | APPROVED |
| --- | --- |
| Effective Date | 09-19-2023 |
| NFA ID | 0532278 |
| Name | SLOWEY, MARTINA |
| Title(s) | DIRECTOR HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-12-2020 |
| NFA ID | 0560329 |
| Name | SPELL, DOUGLAS CHARLES |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-22-2023 |
| NFA ID | 0507499 |
| Name | THORNE, ROSEMARY PRUDENCE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-29-2017 |
| NFA ID | 0496348 |
| Name | WOODS, THOMAS DUNNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-27-2020 |
| Holding Company Information |  |
| NFA ID | 0560123 |
| Full Name | BOFAML EMEA HOLDINGS 2 LIMITED |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 11-17-2023 |

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)

Viewed on May 28, 2024

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

NFA ID 0560124
Full Name BOFAML JERSEY HOLDINGS LIMITED
10% or More Interest Yes
Status APPROVED
Effective Date 11-16-2023

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)
Page 4 of 4

Merrill Lynch International

7R updated Principals as of May 29, 2025

NFA

# Principal Information

Viewed on May 22, 2025

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

## Individual Information

NFA ID 0571106
Name AHLUWALIA, KANWARDEEP SINGH
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status PENDING
Effective Date 05-13-2025

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-02-2018

NFA ID 0563715
Name FRANCIS, CLARE LOUISE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 05-24-2024

NFA ID 0506695
Name KEYS, RICHARD JOHN
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 08-02-2017

NFA ID 0519761
Name LILLY, SHANNON LEON
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 01-19-2022

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)

Viewed on May 22, 2025

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

NFA ID
0487786
Name
MENSAH, BERNARD AMPONSAH
Title(s)
DIRECTOR
CHIEF EXECUTIVE OFFICER
10% or More Interest
No
Status
APPROVED
Effective Date
07-02-2015

NFA ID
0537189
Name
ONEIL, HENRY JAMES
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
03-16-2021

NFA ID
0444710
Name
PETERS, CHARLES
Title(s)
CHIEF FINANCIAL OFFICER
10% or More Interest
No
Status
APPROVED
Effective Date
03-23-2023

NFA ID
0570483
Name
RILEY, EDWARD
Title(s)
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
05-02-2025

NFA ID
0553692
Name
ROMANO, ROBERT JEFFREY
Title(s)
HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
11-16-2023

NFA ID
0558757
Name
SADARANGANI, DINESH BHAGWAN
Title(s)
CHIEF COMPLIANCE OFFICER
10% or More Interest
No

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)

Viewed on May 22, 2025

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

| Status | APPROVED |
| --- | --- |
| Effective Date | 09-19-2023 |
| NFA ID | 0532278 |
| Name | SLOWEY, MARTINA |
| TItle(s) | DIRECTOR |
|  | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-12-2020 |
| NFA ID | 0560329 |
| Name | SPELL, DOUGLAS CHARLES |
| TItle(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-22-2023 |
| NFA ID | 0507499 |
| Name | THORNE, ROSEMARY PRUDENCE |
| TItle(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-29-2017 |
| NFA ID | 0496348 |
| Name | WOODS, THOMAS DUNNE |
| TItle(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-27-2020 |
| Holding Company Information |  |
| NFA ID | 0560123 |
| Full Name | BOFAML EMEA HOLDINGS 2 LIMITED |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 11-17-2023 |

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)

Viewed on May 22, 2025

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

NFA ID 0560124

Full Name BOFAML JERSEY HOLDINGS LIMITED

10% or More Interest Yes

Status APPROVED

Effective Date 11-16-2023

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)

**Attachment 2:** `MLILegalOpinionSBSEA.pdf`

# Merrill Lynch International

## Form SBSE-A

Supplemental Filing Attachment:

- Schedule F, Section I, Item 2
- Legal Opinion Pursuant to Exchange Act Rule 15Fb2-4(c)(1)(ii)
October 16, 2023

CLEARY GOTTLIEB STEEN &amp; HAMILTON LLP

AMERICAS
NEW YORK
SAN FRANCISCO
SÃO PAULO
SILICON VALLEY
WASHINGTON, D.C.

ASIA
BEIJING
HONG KONG
SEOUL

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

EUROPE &amp; MIDDLE EAST
ABU DHABI
BRUSSELS
COLOGNE
FRANKFURT
LONDON
MILAN
PARIS
ROME

5 October 2023

To:

Merrill Lynch International,
2 King Edward St,
London, EC1A 1HQ
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 Merrill Lynch International (the “Firm”), an investment firm 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 Covered Books and Records; and
(b) whether the Firm can, as a matter of English law, submit to on-site inspection and examination by the SEC of its Covered Books and Records.

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

For the purposes of this opinion letter:

Cleary Gottlieb Steen &amp; 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 &amp; Hamilton LLP or an affiliated entity has an office in each of the locations listed above.

"Application Date" means the date that the Firm filed its application to register with the SEC as a non-resident SBSD.

"Covered Books and Records" are only those books and records that:

(a) relate to the "U.S. business" (as defined in 17 C.F.R. § 240.3a71-3(a)(8)) of the non-resident SBSD, i.e., books and 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; or

(b) constitute financial records necessary for the SEC to assess the Firm's compliance with the SEC's margin and capital requirements, if applicable.

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.

"Relevant Books and Records" means the Covered Books and Records that are physically held or electronically accessible in the UK.

"UK GDPR" means the General Data Protection Regulation 2016/679 as it forms part of the UK's "retained EU law" under (and as defined in) the European Union (Withdrawal) Act 2018, as amended by Schedule 1 to the Data Protection, Privacy and Electronic Communications (Amendments etc.) (EU Exit) Regulations 2019 (SI 2019/419).

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

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.

(d) the SEC rules set out in Release No. 34-87780; File No. S7-07-19 on "Cross-Border Application of Certain Security-Based Swap Requirements", which rules were stated as effective on April 6, 2020 (the "SEC Rules and Guidance"); and

(e) 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, 2021,4 and subsequently amended and restated order dated October 22, 2021.5

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 SEC’s requests for the Relevant Books and Records (as defined above) and on-site inspection and examination will be intra vires under U.S. federal securities laws and within the scope of the SEC’s regulatory authority;

(b) 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 applicable U.S. laws;

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

(d) the FCA, the PRA and the SEC (as applicable) will comply in all respects with all provisions of the MoU and Administrative Arrangement.

II. OPINION STATEMENTS

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

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

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

III. QUALIFICATIONS

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

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

5 Available at: https://www.sec.gov/rules/other/2021/34-93411.pdf

(a) This opinion letter is confined to legal matters, and we express no opinion as to any factual matters (whether occurring before or after the Application Date).

(b) This opinion letter, and the opinion statements set out herein, are limited to and shall be governed by English law and construed in accordance with English rules of construction.

(c) 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 Application Date and as applied according to published case law as at the Application Date.

(d) The opinion statements set out above are premised upon and taking into account the ICO Letter.

(e) The opinions expressed herein are rendered on and as of the Application Date, and we assume no obligation to advise you (or any other person), or undertake any investigations, as to any legal developments or factual matters arising subsequent to the Application Date 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.

(f) The opinion statements set out above are premised and predicated upon the SEC Rules and Guidance. The SEC Rules and Guidance state that: “[in its Proposing Release, as defined therein] the Commission stated its “preliminary belief” that it would be appropriate for an SBS Entity’s certification and opinion of counsel to be predicated, as necessary, on the SBS Entity obtaining the prior consent of the persons whose information is or will be included in the SBS Entity’s books and records.” The SEC Rules and Guidance also state that: “Accordingly, the Commission is clarifying that, when an SBS Entity is relying on consents in providing the required certification and opinion of counsel regarding its covered books and records, the SBS Entity should obtain consents in a time and manner consistent with the representations made in the certification and opinion of counsel (such as, prior to entering into a transaction with counterparties for which the SBS Entity is relying on consents in providing the required certification and opinion of counsel regarding its covered books and records), in order to ensure Commission prompt access to books and records, regardless of whether the entity is conditionally or permanently registered.”

## IV. RELIANCE

This opinion letter is being furnished solely for the benefit of the Firm and, solely for purposes of the condition to registration pursuant to 17 C.F.R. § 15Fb2-4(c)(1), the SEC, 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 establishing any lawyer-client relationship with the SEC.

4

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 &amp; HAMILTON LLP

![img-0.jpeg](img-0.jpeg)

By: _________________________
Gareth Kristensen, a Partner

5

**Attachment 3:** `MLISBSDAAmd20SmryOfChanges.pdf`

Merrill Lynch International

Form SBSE-A

Amendment - SBSE-A/A

May 29, 2025

The following changes were made in this Amendment:

Changes to Principals

KANWARDEEP SINGH AHLUWALIA - added as a Head of a Business Unit, Division or Function

PETER O'FLYNN - removed as a Head of a Business Unit, Division or Function

Changes to Schedule B, Section II Item 13B

KBC Bank Bulgaria EAD - Terminated in Custody, Clearance, or Settlement section

BANCO NACIONAL DE MEXICO, S.A. changed to BANCO CITI MÉXICO S.A., INSTITUCIÓN DE BANCA MÚLTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITI MÉXICO - Name change in Custody, Clearance, or Settlement section

EURONEXT BRUSSELS SA - Terminated in Execute or Trade section

EURONEXT LISBON - SOCIEDADE GESTORA DE MERCADOS REGULAMENTADOS, S.A. - Terminated in Execute or Trade section

**Attachment 4:** `MLISBSDACombined13BAmd20.pdf`

Merrill Lynch International
Form SBSE-A

Supplemental Filing Attachment:
Amendment to Schedule B, Section II
Item 13B
May 29, 2025

Merrill Lynch International - Response to Item 13B of Form SBSE-A - Other entities that could not be entered on the form

| Firm or Organization Name | UIC | Street Address 1 | Street Address 2 | City | State/Country | Zip + 4 Postal Code | Effective Date MM DD YYYY | Termination Date MM DD YYYY | Description |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| LME CLEAR LTD | 213800L8AQD59D3J RW81 | 10 FINSBURY SQUARE |  | London | United Kingdom | EC2A 1AJ | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| N A CITIBANK | E57ODZWZ7FF32TW EFA76 | 388 Greenwich Street |  | New York | NY | 10013 | 10/26/2 021 | 08/31/2 024 | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| SKANDINAVISKA ENSKILDA BANKEN AB | F3JS33DEI6XQ4ZBPT N86 | Kungsträdgårds gatan 8 |  | STOCKHOLM | SWEDEN | SE-106 40 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| SKANDINAVISKA ENSKILDA BANKEN AB | 549300ND1MQ8SNN YMJ22 | 2 Tornimäe Street |  | Tallinn | Estonia | 15010 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| SKANDINAVISKA ENSKILDA BANKEN AB | 549300YW95G1VBB GGV07 | Meistaru iela 1, Valdlauci, Kekavas pag |  | Rigas raj | Latvia | LV-1076 | 10/26/2 021 | 04/30/2 024 | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| SKANDINAVISKA ENSKILDA BANKEN AB | 549300SBPFE9JX7N8 J82 | Gedimino ave.12 |  | Vilnius | Lithuania | 01103 | 10/26/2 021 | 04/30/2 024 | Third Party arrangement with others with respect to |

|  |  |  |  |  |  |  |  |  | Custody, Clearance, or Settlement |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| SOCIETE GENERALE MAROCAINE DE BANQUES SA | 549300WHIMVBNID QWK21 | 55, Boulevard Abdelmoumen |  | Casablanca | Morocco | 20100 | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STANBIC IBTC BANK PLC | 029200098C3K8BI2D 551 | Stanbic I.B.T.C Bank PLC, I.B.T.C Place | Walter Carrington Crescent, Victoria Island | Lagos | Nigeria |  | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STANDARD CHARTERED BANK (INDONESIA BRANCH) | RILFO74KP1CM8P6P CT96 | World Trade Center II, 3rd Floor | Jl.Jend. Sudirm an Kav.29-31 | Jakarta | Indonesia | 12920 | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STANDARD CHARTERED BANK (MAURITIUS) LIMITED | 549300R0Q58QYRNZ LS10 | Standard Chartered Tower, 19th Bank Street, Cybercity |  | Ebene | Mauritius | 72201 | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STANDARD CHARTERED BANK GHANA PLC | 549300WFGKTC3MG DCX95 | PO Box 768, Standard Chartered Bank Building, no.87 Independence Avenue |  | Accra | Ghana |  | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STANDARD CHARTERED BANK KENYA LTD | 549300RBHWW5EJI RG629 | Standard Chartered@Chi romo, 48 Westlands Road | P. O. Box 30003 | Nairobi | Kenya | 100 | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STANDARD CHARTERED BANK, BAHRAIN BRANCH | RILFO74KP1CM8P6P CT96 | Manama Main Branch, Building |  | Manama | Kingdon of Bahrain | 315 | 10/26/2021 |  | Third Party arrangement with others with respect to |

|  |  | no.180, Government Avenue |  |  |  |  |  |  | Custody, Clearance, or Settlement |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| STANDARD CHARTERED BANK, BANGLADESH BRANCH | RILFO74KP1CM8P6P CT96 | 67 Gulshan Avenue |  | Dhaka | Bangladesh |  |  | 2/29/2024 | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STANDARD CHARTERED BANK, DIFC BRANCH | RILFO74KP1CM8P6P CT96 | Standard Chartered Bank, Building 1, DIFC, 4th Floor | PO Box 999 | Dubari | UAE |  | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STANDARD CHARTERED BANK, OMAN BRANCH | RILFO74KP1CM8P6P CT96 | Standard Chartered Bank, Bait Al Falaj Street |  | Ruwi | Sultanate of Oman |  | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STANDARD CHARTERED BANK, UAE BRANCH | RILFO74KP1CM8P6P CT96 | Standard Chartered Bank, Building 1, DIFC, 4th Floor | PO Box 999 | Dubari | UAE |  | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STATE STREET BANK AND TRUST COMPANY | 549300ZFEEJ2IP5VM E73 | State Street Financial Center 1 Lincoln Street |  | Boston | MA | 02111 | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| THE BANK OF NEW YORK MELLON | HPFHU0OQ28E4NON FVK49 | 240 Green Street |  | New York | NY | 10286 | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| The Branch of CITIBANK, N.A. in the Republic of Argentina | 579100KKDGKCFFKK F005 | Bartolomé Mitre 530 -3rd floor |  | Buenos Aires | Argentina | C1036 AAJ | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| THE HONGKONG AND SHANGHAI BANKING CORPORATION | 2HI3YI5320L3RW6NJ 957 | No 24, Sir Baron Jayatilaka Mawatha |  | Colombo | Sri Lanka | 1 | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |

| LIMITED (SRI LANKA BRANCH) |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| THE STANDARD BANK OF SOUTH AFRICA LTD | QFC8ZCW3Q5PRXU1 XTM60 | Investor Services, 3rd Floor, 25 Pixley Ka Isaka Seme Street |  | Johannes burg | South Africa | 2001 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| UNICREDIT BANK CZECH REPUBLIC AND SLOVAKIA, A.S. | KR6LSKV3BTSJRD41I F75 | Želetavská 1525/1, 140 92 Praha 4 |  | Michle | Czech Republic |  | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| UniCredit Bank Czech Republic and Slovakia, a.s., Pobocka Zahraničnej Banky | KR6LSKV3BTSJRD41I F75 | Šancová 1/A 813 33 |  | Bratislava | Czech Republic |  | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| UNICREDIT BANK HUNGARY ZRT. | Y28RT6GGYJ696PM W8T44 | Szabadság tér 5-6. HU-1054 |  | Budapest | Hungary |  | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| UNICREDIT BANK S.A. | 5493003BDYD5VPG UQ504 | 1F Expozitiei Blvd. |  | Bucharest | Romania | RO-012101 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| UNICREDIT BANK SRBIJA A.D. | 52990001O0THU00T YK59 | Jurija Gagarina 12, Belgrade Business Center |  | Belgrade | Serbia | 11070 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| UNICREDIT BANKA SLOVENIJA d.d. | 549300O2UN9JLME3 1F08 | Šmartinska 140 |  | Ljubljana | Slovenia | SI-1000 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| UNION INTERNATIONAL DE BANQUES SA | 549300WKCW12LEP UMV07 | Union Internationale de Banques 65 Av Habib Bourguiba 1000 |  | Tunis | Tunisia |  | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |

| ZAGREBACKA BANKA D.D. | PRNXTNXHBI0TSY1V 8P17 | Savska 62 |  | Zagreb | Croatia | 10000 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Banco B3 S.A. | 4GTK5S46E6H318LM DS44 | 7 Andar |  | Sao Paulo | Brazil | 01010-901 | 03/01/2 024 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| REFINITIV TRANSACTION SERVICES LIMITED | 549300SDDJE84DDJ NB30 | Five Canada Square, Canary Wharf |  | London | United Kingdom | E14 5AQ | 05/01/2 024 |  | Third Party arrangement with others with respect to Execute or Trade |
| THE BANK OF NEW YORK MELLON, LONDON BRANCH | HPFHU0OQ28E4NON FVK49 | 240 Green Street |  | New York | New York | 10286 | 06/01/2 024 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| BROKERCREDITSERVICE (CYPRUS) LIMITED | 5493008C22FNI0QEE F10 | Spyrou Kyprianou & 1 Oktovriou, 1, 1st Floor | Vashiotis Kaland e Offices | Limassol | Cyprus | 4004 | 07/01/2 024 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| INTERCONTINENTAL EXCHANGE HOLDINGS, INC. | 549300R4IG1TWPZT 5U32 | 5660 New Northside Drive North West |  | Atlanta | Georgia | 30328 | 10/01/2 024 |  | Third Party arrangement with others with respect to Execute or Trade |
| NEX SEF LIMITED | 2138008LPQ92DIHK HY20 | LONDON FRUIT AND WOOL EXCHANGE | 1 DUVAL SQUARE | London | United Kingdom | E1 6PW | 10/01/2 024 |  | Third Party arrangement with others with respect to Execute or Trade |
| CHINA CENTRAL DEPOSITORY & CLEARING CO. LIMITED |  | 10 Jinrong Street | Xicheng District | Beijing | China | 100033 | 10/01/2 024 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |

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

### Applicant Information

**Full Applicant Name:** MERRILL LYNCH INTERNATIONAL

**NFA Number:** 289121

**IRS Employer ID No.:** 13-3779485

**CIK:** 0001062577

**UIC:** GGDZP1UYGU9STUHRDP48

**Main Address:** 2 KING EDWARD STREET, LONDON, X0, EC1A 1HQ

**Business Telephone:** 212-449-1000

**Contact Employee:**

- **Name:** Michelle Leddy

- **Title:** Director; EAC Compliance & Operational Risk Manager

- **Phone:** 646-855-4726

- **Email:** michelle.leddy@bofa.com

**Chief Compliance Officer:**

- **Name:** DINESH BHAGWAN SADARANGANI

- **Title:** Mng Dir; Intl Comp & Op Risk Exec

- **Phone:** 44-20-7995-3694

- **Email:** dinesh.sadarangani@bofa.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

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

**Subject to Prudential Regulator?:** No

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Description of Business:**
Merrill Lynch International (MLI), a subsidiary of Bank of America Corporation, provides a wide range of financial services to international clients in Europe, the Middle East and Africa, Asia Pacific and the Americas. MLI is headquartered and operates in the United Kingdom, with branches in Qatar and Dubai, and representative offices in Zurich. MLI is authorized by the Prudential Regulation Authority (PRA) and is regulated by the Financial Conduct Authority and the PRA. MLI's business activities include broker and dealer activities in equities and fixed income, currency, and commodities financial instruments;investment banking advisory and underwriting services; post trade related services; and equity and fixed income research.

### 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?:** No

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

**Subject to foreign regulation?:** Yes

**Number of Principals:** 12

### Schedule A: Principals

| Name                            | Title or Status                                        | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Bernard Amponsah Mensah         | Director/Chief Executive Officer                       | 07/2018         | 07/2015              |  |       487786 |
| Henry James O'Neil              | Director                                               | 02/2021         | 03/2021              |  |       537189 |
| Martina Slowey                  | Head of a Business Unit, Division or Function/Director | 11/2020         | 11/2020              |  |       532278 |
| Pierre Jacques Philippe De Weck | Director                                               | 06/2018         | 06/2018              |  |       470677 |
| Richard John Keys               | Director                                               | 05/2017         | 05/2017              |  |       506695 |
| Rosemary Prudence Thorne        | Director                                               | 08/2017         | 08/2017              |  |       507499 |
| Thomas Dunne Woods              | Director                                               | 03/2020         | 03/2020              |  |       496348 |
| Charles Peters                  | Chief Financial Officer                                | 03/2023         | 03/2023              |  |       444710 |
| Dinesh Bhagwan Sadarangani      | Chief Compliance Officer                               | 09/2023         | 08/2023              |  |       558757 |
| Douglas Charles Spell           | Head of a Business Unit, Division or Function          | 12/2023         | 11/2023              |  |       560329 |
| Clare Louise Francis            | Director                                               | 05/2024         | 04/2024              |  |       563715 |
| Kanwardeep Singh Ahuwalia       | Head of a Business Unit, Division or Function          | 05/2025         | 03/2025              |  |       571106 |

### Schedule B: Explanations

**Description:**
MLI's non-securities related financial services including, among others, Swap Dealer activities, safekeeping and administration of financial instruments for the account of clients, including custodianship and related services; granting credits or loans to an investor to carry out a transaction in one or more financial instruments; advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings; foreign exchange services where these are connected to the provision of investment services; investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments; and services related to underwriting. In this context, financial instrument is broadly: transferable securities, money market instruments, units in collective investment schemes, and derivatives on the foregoing and a wide range of non-securities based underliers.

**Records Keeper:**

- **Name:** Workday, Inc

  - **Address:** 6110 STONERIDGE MALL RD, Pleasanton, CA, 94588

  - **Effective Date:** 11-01-2021

  - **Arrangement:** Personnel Records, including but not limited to questionnaires or applications for employment and a listing of associated persons and their work location.

- **Name:** Markit North America, Inc

  - **Address:** 450 West 33rd Street, 5th Floor, New York, NY, 100001

  - **Effective Date:** 11-01-2021

  - **Arrangement:** Compliance Records, including but not limited to documentation of compliance with business conduct standards, disclosures, and notifications.

- **Name:** Micro Focus, LLC

  - **Address:** 4555 Great America Pkwy, Santa Clara, CA, 95054-1243

  - **Effective Date:** 11-01-2021

  - **Arrangement:** Communication Records, including but not limited to electronic communications.

- **Name:** Proofpoint, Inc.

  - **Address:** 892 Ross Drive, Sunnyvale, CA, 94089

  - **Effective Date:** 11-01-2021

  - **Arrangement:** Communication Records, including but not limited to electronic communications.

- **Name:** Bank of America, N.A. (including branches in London and Hong Kong)

  - **Address:** 100 North Tryon Street, Charlotte, NC, 28255

  - **Effective Date:** 11-01-2021

  - **Arrangement:** Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records.

- **Name:** Merrill Lynch Global Services Pte. Ltd

  - **Address:** 2 Harbourfront Place #02-01, Singapore, U0, 098499

  - **Effective Date:** 11-01-2021

  - **Arrangement:** Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records.

- **Name:** BofA Securities Japan Co., Ltd.

  - **Address:** Nihonbashi 1-chome, Bldg 1-4-1 Nihonboshi, Tokyo, M0, 103-8230

  - **Effective Date:** 11-01-2021

  - **Arrangement:** Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records.

**Onbehalf:**

- **Name:** 360 TREASURY SYSTEMS AG

  - **Address:** Gruneburgweg 16-18, Frankfurt am Main, 2M, 60322

  - **Effective Date:** 02-01-2024

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** AQUIS EXCHANGE PLC

  - **Address:** 77 Cornhill, LONDON, X0, EC3V 3QQ

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** AUREL BGC

  - **Address:** BGC AUREL ETC POLLAK 15 17, PARIS, I0, 75002

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** BGC DERIVATIVE MARKETS, L.P.

  - **Address:** CORPORATION TRUST CENTER 1209 ORANGE ST, CO THE CORPORATION TRUST COMPANY, WILMINGTON, DE, 19801

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** BLOOMBERG SEF LLC

  - **Address:** 731 LEXINGTON AVENUE, New York, NY, 10022

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** BLOOMBERG TRADEBOOK CANADA COMPANY

  - **Address:** BROOKFIELD PLACE,TD CANADA TRUST TOWER 1, TORONTO, Z4, M5J 2S1

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** BLOOMBERG TRADEBOOK LLC

  - **Address:** 731 LEXINGTON AVE, New York, NY, 10022

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** BLOOMBERG TRADEBOOK SINGAPORE PTE LTD

  - **Address:** 23 Church Street, SINGAPORE, U0, 49481

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** BLOOMBERG TRADING FACILITY B.V.

  - **Address:** Stadhouderskade 14, Amsterdam, P7, 1054 ES

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** BLOOMBERG TRADING FACILITY LIMITED

  - **Address:** 3 Queen Victoria Street, LONDON, X0, EC4N 4TQ

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** BOLSAS Y MERCADOS ESPANOLES RENTA FIJA SA.

  - **Address:** PLAZA LEALTAD 1, MADRID, U3, 28014

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** BORSE BERLIN AG

  - **Address:** Fasanenstr. 85, Berlin, 2M, 10623

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** BROKERTEC EUROPE LIMITED

  - **Address:** LONDON FRUIT AND WOOL EXCHANGE, 1 DUVAL SQUARE, LONDON, X0, E1 6PW

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** CBOE EUROPE LIMITED

  - **Address:** The Monument Building, LONDON, X0, EC3R 8AF

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** CBOE TRADING, INC.

  - **Address:** 5th Floor, the Monument Building, LONDON, X0, EC3R8AF

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** DEUTSCHE BORSE AG

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

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** DIGITAL VEGA FX LTD

  - **Address:** 9Th Floor, LONDON, X0, EC2V 6DN

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** EBS SERVICE COMPANY LIMITED

  - **Address:** LAVATERSTRASSE 40, 8002, ZURICH, V8, CH ZH CH

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** EUROMTS LTD

  - **Address:** 7TH FLOOR, 110 CANNON STREET, LONDON, X0, EC4N 6EU

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** EURONEXT AMSTERDAM N.V.

  - **Address:** Beursplein 5, Amsterdam, P7, 1012 JW

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** EURONEXT BRUSSELS SA

  - **Address:** Rue du Marquis 1, Internal Postal Box 1, Bruxelles, C9, 1000

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** EURONEXT LISBON - SOCIEDADE GESTORA DE MERCADOS REGULAMENTADOS, S.A.

  - **Address:** AVENIDA DA LIBERDADE, 196 7, LISBOA, S1, 1250-147

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** EURONEXT PARIS SA

  - **Address:** PARIBOURSE SBF SOC BOURSES FRANCAISES, COURBEVOIE, I0, 92400

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** GLMX TECHNOLOGIES, LLC

  - **Address:** 330 7th Ave FL 17, New York, NY, 100015246

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** HUDSON RIVER TRADING EUROPE LTD

  - **Address:** 2nd Floor, 12 Steward Street, LONDON, X0, E1 6FQ

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** INTERCONTINENTAL EXCHANGE, INC

  - **Address:** 5660 New Northside Dr 3, Atlanta, FL, 303285800

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** ISWAP Euro B.V.

  - **Address:** Vijzelstraat 68 Unit 109, Amsterdam, P7, 1017 HL

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** LMAX LTD

  - **Address:** Monsoon Building, LONDON, X0, W11 4AN

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** LONDON STOCK EXCHANGE PLC

  - **Address:** The London Stock Exchange, LONDON, X0, EC4M 7LS

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** MARKETAXESS NL B.V.

  - **Address:** Herengracht 280, Amsterdam, P7, 1016 BX

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** MARKETAXESS SINGAPORE PTE LIMITED

  - **Address:** 10 Collyer Quay, SINGAPORE, U0, 49315

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** MTS SPA

  - **Address:** VIA TOMACELLI 146, Rome, L6, 00186

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** OTCX TRADING LIMITED

  - **Address:** Albert Buildings, LONDON, X0, EC4N 4SA

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** SIX SWISS EXCHANGE AG

  - **Address:** Hardturmstrasse 201, ZURICH, V8, 8005

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** THE LONDON METAL EXCHANGE

  - **Address:** 10 Finsbury Square, LONDON, X0, EC2A 1AJ

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** THE TEL-AVIV STOCK EXCHANGE LTD

  - **Address:** 2 AhuzaBayit, Tel Aviv - Jaffa, L3, 6525216

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** TRADEWEB EUROPE LTD

  - **Address:** 1 Fore Street Avenue, LONDON, X0, EC2Y 9DT

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** TW SEF LLC

  - **Address:** 1177 Ave of The Americas, New York, NY, 100362714

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** TRADEWEB JAPAN KK

  - **Address:** level 26, Kyobashi Edo grand, 2-2-1, Kyobashi, Chuo-Ku, Tokyo, M0, 104-0031

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** TRADEWEB MARKETS LLC

  - **Address:** 2200 PLAZA FIVE, Jersey City, NJ, 73114006

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** TRADITION (UK) LIMITED

  - **Address:** Rue de Langallerie 11, Compagnie Financiere Tradition SA, Lausanne, V8, 1003

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** TRAYPORT LTD

  - **Address:** 7Th Floor, LONDON, X0, EC2A 2AP

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** TSAF OTC

  - **Address:** 9 PL VENDOME, PARIS, I0, 75001

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** TURQUOISE GLOBAL HOLDINGS EUROPE B.V.

  - **Address:** NIEUWEZIJDS VOORBURGWAL 162, SUITE 108, Amsterdam, P7, 1012 SJ

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** TURQUOISE GLOBAL HOLDINGS LTD

  - **Address:** The London Stock Exchange, LONDON, X0, EC4M 7LS

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** VIRTU EUROPE TRADING LIMITED

  - **Address:** Whitaker Court, Whitaker Square, Sir John Rogerson's Quay, Dublin, L2, D02 W529

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** WEMATCH.LIVE R&D LTD

  - **Address:** 121 Begin Menachem Rd, Tel Aviv - Jaffa, L3, 6701203

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** Tradeweb Australia PTY Ltd

  - **Address:** L 6 14 MARTIN PLACE, SYDNEY, C3, 2000

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Execute or Trade

- **Name:** AO Citibank

  - **Address:** 8-10, bld.1, Gasheka street, Moscow, 1Z, 125047

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** AO RAIFFEISENBANK

  - **Address:** 17, Troitskaya str., bld. 1, Moscow, 1Z, 129090

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** BANCO CITI MEXICO S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITI MEXICO

  - **Address:** 800 Colonia, Acturario Roberto Medellin., Santa Fe, O5, D F 01219

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** BANK POLSKA KASA OPIEKI SA

  - **Address:** Zwirki i Wigury 31, Warsaw, R9, 02-091

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** BANQUE CENTRALE DE COMPENSATION (LCH SA)

  - **Address:** 18 RUE DU 4 SEPTEMBRE, FR-75, Paris, I0, 75002

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** BNP Paribas Australia Branch

  - **Address:** Level 4, 60 Castlereagh Street, NSW, Sydney, C3, 2000

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** BNP Paribas S.A. Niederlassung Deutschland

  - **Address:** Senckenberganlage 19, Frankfurt am Main, 2M, 60325

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** BNP Paribas S.A., Succursale Italia

  - **Address:** Piazza Lina Bo Bardi 3, Milano, L6, 20124

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** BNP PARIBAS SA

  - **Address:** Les Grands Moulin de Pantin, 9 Rue du Debarcadere, Pantin, I0, 93500

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** BNP PARIBAS SA SUCURSAL EN ESPANA

  - **Address:** Calle de Emilio Vargas 4, Madrid, U3, 28043

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** BNP PARIBAS, Paris, Zurich Branch

  - **Address:** Selnaustrasse 16, Box, 8022, Zurich, V8, none

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CASSA DI COMPENSAZIONE E GARANZIA SPA

  - **Address:** VIA TOMACELLI, 146, Roma, L6, 186

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** Cboe Clear Europe N.V.

  - **Address:** Strawinskylaan 1847, Tower I, Level 3, Amsterdam, NL, P7, 1077XX

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK ANONIM SIRKETI

  - **Address:** Tekfen Tower, Eski Buyukdere Caddesi 209 Kat 2, Istanbul, W8, 34394 Leve

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK BERHAD

  - **Address:** Level 43, Securities Services, Menara Citibank, 165 Jalan Ampang, Kuala Lumpur, N8, 50450

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK DEL PERU S.A.

  - **Address:** Canaval y Moreyra 480, Piso 3, San Isidro, Lima 27, R5, none

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK EUROPE PLC, GREECE BRANCH

  - **Address:** 8 Othonos street, Athens, J3, 10557

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK KAZAKHSTAN

  - **Address:** YN. 3EHKOBA, AOM 26/41, Almaty, 1P, 050020

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK KOREA INC.

  - **Address:** 50, Saemunan-ro, Jongno-gu, Seoul, M5, 03184

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK N.A. (MUMBAI BRANCH)

  - **Address:** Citibank N.A. FIFC, C-54 & 55, G Block, Bandra Kura Complex, Bandra East, K7, 400051

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK N.A. EGYPT

  - **Address:** Level 3, 46, Al Salam Axis Street, First Sector at the Fifth Settlement, New Cairo, H2, none

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK N.A. ISRAEL BRANCH

  - **Address:** Ha arba a 21, Tel Aviv, L3, none

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK N.A., PAKISTAN

  - **Address:** Army Welfare Trust (AWT) Plaza, I.I.Chundrigar Road, Karachi, R0, 74200

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK NA (PHILIPPINES BRANCH)

  - **Address:** 16th Floor, Citibank Plaza, 34th St,, Bonifacio Global City, Taguig City, Metro Manila, R6, 1634

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK SINGAPORE LIMITED

  - **Address:** 8 Marina View, #16-00 Asia Square Tower 1, Singapore, U0, 018960

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK, N.A. (BANGKOK BRANCH)

  - **Address:** 18th Fl, 399 Intg 21 Bldg, Sukhumvit Rd, Klongtoey Nua, Wattana District, Bangkok, W1, 10110

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK, N.A. (HONG KONG BRANCH)

  - **Address:** 35/F, Citigroup Tower, No.33 Hua Yuan Shi Qiao Road, Shanghai, F4, 200120

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK, N.A. (HONG KONG BRANCH)

  - **Address:** 50/F Citibank Tower, Citibank Plaza, 3 Garden Road, Central, Hong Kong, K3, none

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** Citibank, N.A. Brazilian Branch

  - **Address:** Av. Paulista 1.111, 12 andar, Sao Paulo SP, D5, 01311-920

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIBANK, N.A. NEW YORK OFFICES - CHILE

  - **Address:** Estado 260, Level 2, Santiago, F3, 8320204

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITIGROUP PTY LIMITED

  - **Address:** Level 16, 120 Collins Street, Melbourne, C3, VIC 3000

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CITITRUST COLOMBIA S A SOCIEDAD FIDUCIARIA

  - **Address:** Carrera 9A, No. 99-02, Bogota, F8, none

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CLEARSTREAM BANKING AG

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

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** CLEARSTREAM BANKING S.A.

  - **Address:** 11 Westferry Circus, Canary Wharf, London, X0, E14 4HE

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** EUREX CLEARING AG

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

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** EUROCLEAR BANK SA

  - **Address:** 1 Boulevard du Roi Albert II, B 1210, Brussels, C9, none

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** EUROCLEAR FRANCE

  - **Address:** 66 rue de la Victoire, Paris, I0, 75009

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** EUROCLEAR UK & INTERNATIONAL LTD

  - **Address:** 33 Cannon Street, London, X0, EC4M 5SB

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** HSBC BANK (CHINA) COMPANY LIMITED

  - **Address:** 33rd Floor, HSBC Building, Shanghai ifc, 8 Century Avenue, Pudong, Shanghai, F3, 200120

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** HSBC BANK (TAIWAN) LIMITED

  - **Address:** 13F, No. 333 Keelung Road, Sec. 1, Xinyi District, Taipei, F5, 110

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** HSBC BANK (VIETNAM) LIMITED

  - **Address:** The Metropolitan, Floor 2, 235 Dong Khoi Street, District 1, Ho Chi Minh, Q1, none

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** HSBC BANK MIDDLE EAST LIMITED, KUWAIT BRANCH

  - **Address:** Qibla Area, Hamad Al-Saqr St., Kharafi Tower, G/1/2 Floors, Box 1683, Safat, M6, 13017

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** HSBC BANK MIDDLE EAST LIMITED, QATAR BRANCH

  - **Address:** 2nd Fl, Ali Bin Ali Twr Bldg # 150, Al Matar St, Box 57. Street no. 950, Doha, S3, none

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** HSBC SAUDI ARABIA

  - **Address:** 2nd Floor, 7267 Olaya, Al Murooj, Riyadh, T0, 12283-2255

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** ICE CLEAR CREDIT LLC

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

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** ICE CLEAR EUROPE LTD

  - **Address:** MILTON GATE, 60 CHISWELL STREET, London, X0, EC1Y 4SA

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** Islandsbanki HF.

  - **Address:** Hagasmara 3, 201, Kopavogur, K6, IS-1

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** ITAU DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS S.A.

  - **Address:** Avenida Brigadeiro Faria Lima, 3500, 3 Andar Parte, Sao Paulo, D5, 0453-8132

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** ITAU UNIBANCO S/A.

  - **Address:** Alfredo Egydio de Souza Aranha 100, Sao Paulo, D5, 0434-4902

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** JOINT STOCK COMPANY CITIBANK

  - **Address:** Bud.16-g, Dilova Str, Kyiv, 2H, 03150

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** KBC Bank Bulgaria EAD

  - **Address:** 55 Nikola Vaptsarov Blvd., Expo 2000, Phase III, 4 floor, Sofia, E0, 1407

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

- **Name:** LCH LIMITED

  - **Address:** Aldgate House, 33 Aldgate High Street, London, X0, EC3N 1EA

  - **Effective Date:** 10-26-2021

  - **Arrangement:** Third Party arrangement with others with respect to Custody, Clearance, or Settlement

**Controlling Entity:**

- **Name:** BofAML EMEA Holdings 2 Limited

  - **Address:** IFC1, The Esplanade, St. Helier, Y9, JE2 3BX

  - **Effective Date:** 11-01-2023

  - **Arrangement:** Effective November 1st, 2023, Merrill Lynch International is owned by: (1) BofAML EMEA Holdings 2 Limited, (which owns 80.1%); and (2) BofAML Jersey Holdings Limited, (which owns 19.9%), and which also is the immediate parent that wholly-owns BofAML EMEA Holdings 2 Limited above. BofAML Jersey Holdings Limited is wholly-owned by NB Holdings Corporation, which in turn is wholly owned by Bank of America Corporation

- **Name:** BofAML Jersey Holdings Limited

  - **Address:** IFC1, The Esplanade, St. Helier, Y9, JE2 3BX

  - **Effective Date:** 11-01-2023

  - **Arrangement:** Effective November 1st, 2023, Merrill Lynch International is owned by: (1) BofAML EMEA Holdings 2 Limited, (which owns 80.1%); and (2) BofAML Jersey Holdings Limited, (which owns 19.9%), and which also is the immediate parent that wholly-owns BofAML EMEA Holdings 2 Limited above. BofAML Jersey Holdings Limited is wholly-owned by NB Holdings Corporation, which in turn is whollyowned by Bank of America Corporation

- **Name:** NB Holdings Corporation

  - **Address:** 100 North Tryon Street, Charlotte, NC, 28255

  - **Effective Date:** 11-01-2023

  - **Arrangement:** Effective November 1st, 2023, Merrill Lynch International is owned by: (1) BofAML EMEA Holdings 2 Limited, (which owns 80.1%); and (2) BofAML Jersey Holdings Limited, (which owns 19.9%), and which also is the immediate parent that wholly-owns BofAML EMEA Holdings 2 Limited above. BofAML Jersey Holdings Limited is wholly-owned by NB Holdings Corporation, which in turn is whollyowned by Bank of America Corporation

- **Name:** Bank of America Corporation

  - **Address:** 100 North Tryon Street, Charlotte, NC, 28255

  - **Effective Date:** 11-01-2023

  - **Arrangement:** Effective November 1st, 2023, Merrill Lynch International is owned by: (1) BofAML EMEA Holdings 2 Limited, (which owns 80.1%); and (2) BofAML Jersey Holdings Limited, (which owns 19.9%), and which also is the immediate parent that wholly-owns BofAML EMEA Holdings 2 Limited above. BofAML Jersey Holdings Limited is wholly-owned by NB Holdings Corporation, which in turn is whollyowned by Bank of America Corporation

### Execution

**Date:** 06-05-2025

**Name of Applicant:** MERRILL LYNCH INTERNATIONAL

**Signature:** /s/ Charles Peters

**Printed Name:** Charles Peters

**Title:** CFO