# EDGAR Filing Document

**Accession Number:** 0001803522
**File Stem:** 0001803522-25-000003
**Filing Date:** 2025-6
**Character Count:** 150572
**Document Hash:** b45bff1fdb927e3b68ad2eb86e736300
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001803522-25-000003.hdr.sgml**: 20250609

**ACCESSION NUMBER**: 0001803522-25-000003

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

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20250609

**DATE AS OF CHANGE**: 20250609

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BofA Securities Europe SA
- **CENTRAL INDEX KEY:** 0001803522

**ORGANIZATION NAME:**
- **EIN:** 981453372
- **STATE OF INCORPORATION:** I0

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00130
- **FILM NUMBER:** 251034902

**BUSINESS ADDRESS:**
- **STREET 1:** 49-51 RUE LA BOETIE
- **CITY:** PARIS
- **STATE:** I0
- **ZIP:** 75008
- **BUSINESS PHONE:** 33187700000

**MAIL ADDRESS:**
- **STREET 1:** 49-51 RUE LA BOETIE
- **CITY:** PARIS
- **STATE:** I0
- **ZIP:** 75008

### Attached PDF Documents

**Attachment 1:** `BofASE7RforAmd23.pdf`

# BofA Securities Europe SA

Form SBSE-A

Supplemental Filing Attachment:
7R Filing as of May 19, 2025

National Futures Association
Firm Application (7R) Filed February 13, 2019
Page 1

OMB Numbers 3038-0023 and 3038-0072
NFA ID 0518831 BOFA SECURITIES EUROPE SA
Submitted By WEEMST5 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.

THE FAILURE TO DISCLOSE A DISCIPLINARY MATTER EITHER IN AN APPLICATION OR AN UPDATE WILL RESULT IN THE IMPOSITION OF A LATE DISCLOSURE FEE IN ACCORDANCE WITH NFA REGISTRATION RULE 210(c).

## 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 Investigations or Legal ("RIL") staff) 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 RIL 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,

Page 2

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

including denial or revocation of registration.

## Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient

With some exceptions, which are described below in the Regulatory and Financial Disclosures 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 (800) 621-3570 or (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

# National Futures Association

Firm Application (7R) Filed February 13, 2019
Page 3

OMB Numbers 3038-0023 and 3038-0072
NFA ID 0518831 BOFA SECURITIES EUROPE SA
Submitted By WEEMST5 TERRY WEEMS

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 reparations matter.

Only adversary actions that a bankruptcy trustee or a trustee's attorney files must be disclosed. Adversary actions that creditors file are not disclosable. A person named as a party to an adversary action in a bankruptcy proceeding must disclose the action, even if the person is not the bankrupt person.

## ADDITIONAL DOCUMENTS

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

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

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

# National Futures Association

Firm Application (7R) Filed February 13, 2019
Page 4

OMB Numbers 3038-0023 and 3038-0072
NFA ID 0518831 BOFA SECURITIES EUROPE SA
Submitted By WEEMST5 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 *entity's* stock; entitlement to vote or empowered to sell 10% or more of an *entity's* voting securities; contribution of 10% or more of an *entity's* capital; or entitlement to 10% or more of an *entity'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.

**ENTITY**: any *person* other than an individual.

**ENTITY FLOOR TRADER**: an applicant that files or registrant that filed a Form 7-R to apply for

National Futures Association
Firm Application (7R) Filed February 13, 2019
Page 5

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

registration as a floor trader.

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.

FLOOR TRADER ORDER ENTERER: an individual responsible for entry of orders from an *Entity, Floor Trader*'s own account.

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.

INDIRECT OWNER: an individual who through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of an *entity*'s equity securities, other than non-voting securities;
- is entitled to vote 10% or more of the outstanding shares of any class of an *entity*'s equity securities, other than non-voting securities;
- has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an *entity*'s equity securities, other than non-voting securities;
- is entitled to receive 10% or more of an *entity*'s net profits; or
- has the power to exercise a controlling influence over an *entity*'s activities that are subject to regulation by the Commission.

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

National Futures Association
Firm Application (7R) Filed February 13, 2019
Page 6

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

- 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.

NON-U.S. NATURAL PERSON: an individual who has not resided in the U.S. since reaching the age of 18 years.

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.

OUTSIDE DIRECTOR: an individual who is director of an applicant or registrant and who:

- is not an officer or employee of the applicant or registrant;
- is not engaged in or have direct supervisory responsibility over persons engaged in the solicitation of
- or acceptance of customers' orders or retail forex customers' orders;
- funds, securities or property for participation in a commodity pool;
- a client's or prospective client's discretionary account;
- leverage customers' orders for leverage transactions;
- or acceptance of a swap agreement; or
- does not regularly have access to the keeping, handling or processing of:
- transactions involving "commodity interests", as that term is defined in CFTC Regulation

# National Futures Association

Firm Application (7R) Filed February 13, 2019
Page 7

OMB Numbers 3038-0023 and 3038-0072
NFA ID 0518831 BOFA SECURITIES EUROPE SA
Submitted By WEEMST5 TERRY WEEMS

1.3(yy);

- customer funds, retail forex customer funds, leverage customer funds, foreign futures or foreign options secured amount, or adjusted net capital.

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

PRINCIPAL • means, with respect to an applicant, a registrant, or a person required to be registered under the Act:

(1) an individual who is:

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

(2) 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 an applicant or registrant's equity securities, other than non-voting securities;
- is entitled to vote 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- is entitled to receive 10% or more of an applicant or registrant's net profits; or
- has the power to exercise a controlling influence over an applicant or registrant's activities that are subject to regulation by the Commission; or

(3) an entity that:

- is a general partner of a partnership; or
- is the direct owner of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities; or

(4) an individual who or an entity that:

# National Futures Association

Firm Application (7R) Filed February 13, 2019
Page 8

OMB Numbers 3038-0023 and 3038-0072
NFA ID 0518831 BOFA SECURITIES EUROPE SA
Submitted By WEEMST5 TERRY WEEMS

- has contributed 10% or more of an applicant or registrant's capital unless such capital contribution consists of subordinated debt contributed by:
- an unaffiliated bank insured by the Federal Deposit Insurance Corporation;
- an unaffiliated "foreign bank," as defined in 12 CFR 211.21(n) that currently operates an "office of a foreign bank," as defined in 12 CFR 211.21(t), which is licensed under 12 CFR 211.24(a);
- such office of an unaffiliated, licensed foreign bank; or
- an insurance company subject to regulation by any State,

provided such debt is not guaranteed by an individual who or entity that is not a principal of the applicant or registrant.

For the purpose of answering Questions A, B, C, D, E, F, G, I and K of the Disciplinary Information sections, PRINCIPAL also means an individual described in (1), (2) or (4) above with respect to any entity whether or not the entity is an applicant, registrant, or a person required to be registered under the Act.

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

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

National Futures Association
Firm Application (7R) Filed February 13, 2019
Page 9

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

# Privacy Act and Paperwork Reduction Act Notice

## Privacy 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 2(c), 4f, 4k, 4n, 4s, 8a and 19 of the Commodity Exchange Act, 7 U.S.C. §§ 2(c), 6f, 6k, 6n, 6s, 12a and 23. Under Section 2(c), 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 conducting 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

Page 10

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

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.

With the exception of the social security number and Federal employer identification number, all information in Forms 8-R and 8-T must be furnished. Disclosure of the social security number and 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, which allows the CFTC to use the social security number or taxpayer identifying number furnished to the CFTC as part of the registration process for purposes of collecting and reporting on any debt owed to the U.S. Government, including civil monetary penalties. Although voluntary, the furnishing of a social security number or Federal employer identification number 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.

NFA makes available to the public on NFA website(s), including the Background Affiliation Status Information Center (BASIC), firm directories, business addresses, telephone numbers, registration categories, effective dates of registration, registration status, and disciplinary action taken concerning futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisors, swap dealers, major swap participants and retail foreign exchange dealers and their associated persons and principals; non-natural person floor traders and their principals; and floor trader order enterers.

Additional information on Forms 7-R, 7-W, 8-R and 8-T is publicly available, and may be accessed by contacting the National Futures Association, Registration Department, Suite 1800, 300 S. Riverside Plaza, Chicago, IL 60606-6615, except for the following information, which is generally not available for public release unless required under the Freedom of Information Act (FOIA):

- The fingerprint card, including its demographic information;
- social security number;
- date of birth;
- location of birth;
- current residential address; and
- any supplementary information filed in response to the Form 8-R "Personal Information,"

National Futures Association
Firm Application (7R) Filed February 13, 2019
Page 11

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

"Disciplinary Information," "Matter Information," or "Disclosure Matter" sections, Form 8-T "Withdrawal Reasons," "Disciplinary Information," or "Matter Information" sections, and Form 7-W, "Additional Customer Information" sections.

The CFTC, or NFA acting in accordance with rules approved by the CFTC, may disclose to third parties any information provided on Forms 7-R, 7-W, 8-R and 8-T pursuant to the Commodity Exchange Act, 7 U.S.C. §1 et seq., Privacy Act of 1974, 5 U.S.C. §552a (Privacy Act), and the Commission's Privacy Act routine uses published in the Federal Register, which may include, but is not limited to, disclosure to Federal, state, local, or foreign law enforcement or regulatory authorities acting within the scope of their jurisdiction or for their use in meeting responsibilities assigned to them by law. The information will be maintained and disclosures will be made in accordance with CFTC Privacy Act System of Records Notice CFTC-12, National Futures Association (NFA) Applications Suite System (Exempted), CFTC-10, Investigatory Records (Exempted), or another relevant System of Records Notice, available from the CFTC "Privacy Program" page, http://www.cftc.gov/Transparency/PrivacyOffice.

If an individual believes that information on the forms is confidential, the individual may petition the CFTC, pursuant to 17 CFR 145.9, to treat such information as confidential in response to requests under FOIA, 5 U.S.C. §552. The filing of a petition for confidential treatment, however, does not guarantee that the information will be treated confidentially in response to a FOIA request. 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.

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. 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 published System of Records Notices, which describe the existence and character of each system of records maintained by the CFTC, available at the CFTC "Privacy Program" page.

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.

Paperwork Reduction Act Notice

OMB Numbers 3038-0023 and 3038-0072

You are not required to provide the information requested on a form subject to the Paperwork

# National Futures Association

Firm Application (7R) Filed February 13, 2019
Page 12

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

Reduction Act unless the form displays a valid OMB Control Number.

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

| Form 7-R | 0.6 hours |
| --- | --- |
| FCM |  |
| SD | 1.1 hours |
| MSP | 1.1 hours |
| RFED | 0.6 hours |
| IB | 0.5 hours |
| CPO | 0.5 hours |
| CTA | 0.5 hours |
| FT | 0.6 hours |
| Form 7-W | 0.1 hours |
| Form 8-R | 1.0 hours |
| Form 8-T | 0.2 hours. |

Page 13

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

## Registration Categories

NFA MEMBER

SWAP DEALER

## Membership Information

Not applicable.

Page 14

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

## Business Information

| Business Address | 51 RUE LA BOETIE PARIS 75008 FRANCE |
| --- | --- |
| Phone Number | +33.1.8770.0000 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |
| Website / URL | Not provided. |
| Federal EIN | 98-1453372 |
| CRD ID | Not provided. |
| Form of Organization | OTHER |
| Location | FRANCE |
| Other Names | BOFAML SECURITIES EUROPE SA DBA NOT IN USE |

Page 15

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

# Location of Business Records

Business Records Address

51 RUE LA BOETIE

PARIS 75008

FRANCE

U.S. Address for Production of Business Records

The office of NFA located in New York, NY,

Page 16

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

# Holding Company Information

Name: MERRILL LYNCH GROUP HOLDINGS I, L.L.C.
10% or more interest? NO

Name: NB HOLDINGS CORPORATION
10% or more interest? YES

Page 17

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

## Regulator Information

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

AUTORITE DE CONTROLE PRUDENTIEL ET DE RESOLUTION (ACPR - BANQUE OF FRANCE)

AUTORITE DES MARCHES FINANCIERS (AMF - FINANCIAL MARKETS REGULATOR)

### U.S. Regulator(s)

None,

Page 18

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 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 February 13, 2019
Page 19

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 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

# National Futures Association

Firm Application (7R) Filed February 13, 2019
Page 20

OMB Numbers 3038-0023 and 3038-0072
NFA ID 0518831 BOFA SECURITIES EUROPE SA
Submitted By WEEMST5 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:

- 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:

- 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?

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
NO
NO
NO

# National Futures Association

Firm Application (7R) Filed February 13, 2019
Page 21

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 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?
N/A

# National Futures Association

Firm Application (7R) Filed February 13, 2019
Page 22

OMB Numbers 3038-0023 and 3038-0072
NFA ID 0518831 BOFA SECURITIES EUROPE SA
Submitted By WEEMST5 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

National Futures Association
Firm Application (7R) Filed February 13, 2019
Page 23

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

## Contact Information

### Registration Contact

JANE MICHAEL
DIRECTOR, EAC COMPL &amp; OP RISK MGR
9000 SOUTHSIDE BLVD
FL9-200-04-16
JACKSONVILLE, FL 32256
UNITED STATES
Phone: 904-218-4044
E-mail: JANE.R.MICHAEL@BANKOFAMERICA.COM

### Membership Contact

GENE PORTER
MANAGING DIR, EAC COMPL &amp; OP RISK EXEC
9000 SOUTHSIDE BLVD
FL9-200-04-16
JACKSONVILLE, FL 32256
UNITED STATES
Phone: 904-218-4124
E-mail: GENE.E.PORTER@BANKOFAMERICA.COM

### Accounting Contact

TERRY WEEMS
VP, EAC COMPL &amp; OP RISK SPECIALIST
9000 SOUTHSIDE BLVD
FL9-200-04-16
JACKSONVILLE, FL 32256
UNITED STATES
Phone: 904-218-4614
E-mail: TERRY.WEEMS@BANKOFAMERICA.COM

Page 24

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

## Arbitration Contact

SAJID HUSSEIN
ASSOC GENERAL COUNSEL &amp; MANAGING DIR
2 KING EDWARD ST
MAILCODE 473-808-05-01
LONDON EC1A 1HQ
UNITED KINGDOM
Phone: +44.20.7996.1165
E-mail: SAJID.HUSSEIN@BAML.COM

## Compliance Contact

RIQUEZA FEASTER
MANAGING DIRECTOR, COMPL &amp; OP RISK EXEC
ONE BRYANT PARK
NY1-100-17-05
NEW YORK, NY 10036
UNITED STATES
Phone: 212-449-4708
E-mail: RIQUEZA.FEASTER@BANKOFAMERICA.COM

## Chief Compliance Officer

LOUIE MANTOUFEH
CHIEF COMPLIANCE OFFICER
2 PARK PLACE, UPPER HATCH ST
DUBLIN 2
IRELAND
Phone: +353.12439170
E-mail: LOUIE.MANTOUFEH@BAML.COM

Page 25

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

## Enforcement/Compliance Communication Contact

RIQUEZA FEASTER
MANAGING DIRECTOR, COMPL &amp; OP RISK EXEC
ONE BRYANT PARK
NY1-100-17-05
NEW YORK, NY 10036
UNITED STATES
Phone: 212-449-4708
E-mail: RIQUEZA.FEASTER@BANKOFAMERICA.COM

Page 26

# National Futures Association

Firm Application (7R) Filed February 13, 2019

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 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;

# National Futures Association

Firm Application (7R) Filed February 13, 2019
Page 27

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 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,

# National Futures Association

Firm Application (7R) Filed February 13, 2019
Page 28

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 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.

NFA

# Business Information

Viewed on October 21, 2021

NFA ID 0518831 BOFA SECURITIES EUROPE SA

| Name | BOFA SECURITIES EUROPE SA |
| --- | --- |
| Form of Organization | OTHER |
| Country | FRANCE |
| Federal EIN | WJ0518831 |
| Business Address |  |
| Street Address 1 | 51 RUE LA BOETIE |
| City | PARIS |
| Zip/Postal Code | 75008 |
| Country | FRANCE |
| Phone Number | +33.1.8770.0000 |
| Fax Number | Not provided |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |
|  | 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 0518831 BOFA SECURITIES EUROPE SA

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 0518831 BOFA SECURITIES EUROPE SA

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 0518831 BOFA SECURITIES EUROPE SA

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 0518831 BOFA SECURITIES EUROPE SA

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 0518831 BOFA SECURITIES EUROPE SA

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?

No

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 0518831 BOFA SECURITIES EUROPE SA

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 0518831 BOFA SECURITIES EUROPE SA

| 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 0518831 BOFA SECURITIES EUROPE SA

## Current Status Information

| Branch ID | Status | Effective Date |
| --- | --- | --- |
|  | NFA MEMBER APPROVED | 03/27/2019 |
|  | SWAP DEALER PROVISIONALLY REGISTERED | 03/15/2019 |

## Status History Information

| Status | Effective Date |
| --- | --- |
| NFA MEMBER APPROVED | 03/27/2019 |
| SWAP DEALER PROVISIONALLY REGISTERED | 03/15/2019 |
| NFA MEMBER PENDING | 02/13/2019 |
| SWAP DEALER PENDING | 02/13/2019 |

## Outstanding Requirements

Annual Due Date: 4/1/2022

4S SUBMISSIONS IN REVIEW

ANNUAL MEMBERSHIP DUES INSUFFICIENT FOR 1/1/2022

FOREIGN INDUSTRY CHECK PENDING

## Disciplined Employee Summary

Page 1 of 1

NFA

# Location of Business Records

Viewed on October 21, 2021

NFA ID 0518831 BOFA SECURITIES EUROPE SA

| Street Address 1 | 51 RUE LA BOETÏE |
| --- | --- |
| City | PARIS |
| Zip/Postal Code | 75008 |
| Country | FRANCE |

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 0518831 BOFA SECURITIES EUROPE SA

## 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 0518831 BOFA SECURITIES EUROPE SA

## Arbitration Contact

First Name: BURKE
Last Name: SALLY
Title: ASSOC GENERAL COUNSEL &amp; MANAGING DIR
Street Address 1: 2 KING EDWARD ST
Street Address 2: MAILCD: 473-810-03-03
City: LONDON
Zip/Postal Code: EC1A 1HQ
Country: UNITED KINGDOM
Phone: +44.20.7995.1875
Email: SALLY.BURKE@BOFA.COM

## Compliance Contact

First Name: DAN DAN
Last Name: LIU
Title: DIRECOR, COMPL &amp; 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 0518831 BOFA SECURITIES EUROPE SA

| Chief Compliance Officer Contact |  |
| --- | --- |
| First Name | FRANCK |
| Last Name | BESSOLES |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 49-51 RUE LA BOETIE |
| Street Address 2 | MAIL CODE: 333-850-01-01 |
| City | PARIS |
| Zip/Postal Code | 75008 |
| Country | FRANCE |
| Phone | +33.1.87.70.01.18 |
| Email | FRANCK.BESSOLES@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 0518831 BOFA SECURITIES EUROPE SA

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 0518831 BOFA SECURITIES EUROPE SA

AUTORITE DE CONTROLE PRUDENTIEL ET DE RESOLUTION (ACPR - BANQUE OF FRANCE)
AUTORITE DES MARCHES FINANCIERS (AMF - FINANCIAL MARKETS REGULATOR)

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

NFA

Other Names

Viewed on October 21, 2021

NFA ID 0518831 BOFA SECURITIES EUROPE SA

BOFAML SECURITIES EUROPE SA

DBA NOT IN USE

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 0518831 BOFA SECURITIES EUROPE SA

## Individual Information

NFA ID 0527665
Name BESSOLES, FRANCK
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-24-2020

NFA ID 0518519
Name CARP, GEORGE CARL
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 03-05-2021

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 08-20-2019

NFA ID 0518916
Name FINUCANE, ANNE MARIE
Title(s) DIRECTOR
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 0518831 BOFA SECURITIES EUROPE SA

| Effective Date | 02-13-2019 |
| --- | --- |
| NFA ID | 0524289 |
| Name | FLEURIOT, PIERRE CHRISTIAN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-30-2019 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-15-2019 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-21-2021 |
| NFA ID | 0261748 |
| Name | MONTAG, THOMAS KELL |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-13-2019 |
| NFA ID | 0535182 |
| Name | SARTORIUS, MARIE HELENE HENRIETTE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-14-2020 |
| NFA ID | 0488315 |
| Name | SIMPSON, PAUL HOWARD |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |

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 0518831 BOFA SECURITIES EUROPE SA

Status
APPROVED
Effective Date
02-13-2019

NFA ID
0402655
Name
THOMPSON, BRUCE ROBERT
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
02-13-2019

NFA ID
0496129
Name
ZAIMI, SANAZ
Title(s)
DIRECTOR
CHIEF EXECUTIVE OFFICER
10% or More Interest
No
Status
APPROVED
Effective Date
02-25-2019

Holding Company Information

NFA ID
0308530
Full Name
NB HOLDINGS CORPORATION
10% or More Interest
Yes
Status
APPROVED
Effective Date
03-18-2019

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

NFA

# Registration Contact Information

Viewed on October 21, 2021

NFA ID 0518831 BOFA SECURITIES EUROPE SA

| 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 0518831 BOFA SECURITIES EUROPE SA

Office of NFA located in New York, NY

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

# BofA Securities Europe SA

7R updated Principals as of December 29, 2021

NFA

# Principal Information

Viewed on December 29, 2021

NFA ID 0518831 BOFA SECURITIES EUROPE SA

# Individual Information

NFA ID 0527665
Name BESSOLES, FRANCK
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-24-2020

NFA ID 0518519
Name CARP, GEORGE CARL
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 03-05-2021

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 08-20-2019

NFA ID 0518916
Name FINUCANE, ANNE MARIE
Title(s) DIRECTOR
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 29, 2021

NFA ID 0518831 BOFA SECURITIES EUROPE SA

| Effective Date | 02-13-2019 |
| --- | --- |
| NFA ID | 0524289 |
| Name | FLEURIOT, PIERRE CHRISTIAN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-30-2019 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-15-2019 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-21-2021 |
| NFA ID | 0535182 |
| Name | SARTORIUS, MARIE HELENE HENRIETTE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-14-2020 |
| 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 |
| NFA ID | 0496129 |
| Name | ZAIMI, SANAZ |
| Title(s) | DIRECTOR |
|  | CHIEF EXECUTIVE OFFICER |

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

Viewed on December 29, 2021
NFA ID 0518831 BOFA SECURITIES EUROPE SA

10% or More Interest
No
Status
APPROVED
Effective Date
02-25-2019

## Holding Company Information

NFA ID
0308530
Full Name
NB HOLDINGS CORPORATION
10% or More Interest
Yes
Status
APPROVED
Effective Date
03-18-2019

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

# BofA Securities Europe SA

7R updated Principals as of February 1, 2022

NFA

# Principal Information

Viewed on February 01, 2022

NFA ID 0518831 BOFA SECURITIES EUROPE SA

# Individual Information

NFA ID 0527665
Name BESSOLES, FRANCK
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-24-2020

NFA ID 0518519
Name CARP, GEORGE CARL
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 03-05-2021

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 08-20-2019

NFA ID 0518916
Name FINUCANE, ANNE MARIE
Title(s) DIRECTOR
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 0518831 BOFA SECURITIES EUROPE SA

| Effective Date | 02-13-2019 |
| --- | --- |
| NFA ID | 0524289 |
| Name | FLEURIOT, PIERRE CHRISTIAN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-30-2019 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-15-2019 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-21-2021 |
| NFA ID | 0535182 |
| Name | SARTORIUS, MARIE HELENE HENRIETTE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-14-2020 |
| 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 |
| NFA ID | 0496129 |
| Name | ZAIMI, SANAZ |
| Title(s) | DIRECTOR |
|  | CHIEF EXECUTIVE OFFICER |

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

Viewed on February 01, 2022

NFA ID 0518831 BOFA SECURITIES EUROPE SA

10% or More Interest
No
Status
APPROVED
Effective Date
02-25-2019

## Holding Company Information

NFA ID
0308530
Full Name
NB HOLDINGS CORPORATION
10% or More Interest
Yes
Status
APPROVED
Effective Date
03-18-2019

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

# BofA Securities Europe SA

7R updated Principals as of March 4, 2022

NFA

# Principal Information

Viewed on March 04, 2022

NFA ID 0518831 BOFA SECURITIES EUROPE SA

# Individual Information

NFA ID 0527665
Name BESSOLES, FRANCK
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-24-2020

NFA ID 0518519
Name CARP, GEORGE CARL
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 03-05-2021

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 08-20-2019

NFA ID 0518916
Name FINUCANE, ANNE MARIE
Title(s) DIRECTOR
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 04, 2022

NFA ID 0518831 BOFA SECURITIES EUROPE SA

| Effective Date | 02-13-2019 |
| --- | --- |
| NFA ID | 0524289 |
| Name | FLEURIOT, PIERRE CHRISTIAN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-30-2019 |
| NFA ID | 0546868 |
| Name | HOLTZ, VANESSA KARIN YAELLE |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-01-2022 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-15-2019 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-21-2021 |
| NFA ID | 0546519 |
| Name | MORISSEAU, JEROME |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | PENDING |
| Effective Date | 03-04-2022 |
| NFA ID | 0535182 |
| Name | SARTORIUS, MARIE HELENE HENRIETTE |
| Title(s) | DIRECTOR |

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

Viewed on March 04, 2022

NFA ID 0518831 BOFA SECURITIES EUROPE SA

10% or More Interest
No
Status
APPROVED
Effective Date
12-14-2020

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
0308530
Full Name
NB HOLDINGS CORPORATION
10% or More Interest
Yes
Status
APPROVED
Effective Date
03-18-2019

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

# BofA Securities Europe SA

7R updated Principals as of July 18, 2022

NFA

# Principal Information

Viewed on July 18, 2022

NFA ID 0518831 BOFA SECURITIES EUROPE SA

## Individual Information

NFA ID 0549933
Name BESSANT, CATHERINE POMBIER
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-05-2022

NFA ID 0527665
Name BESSOLES, FRANCK
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-24-2020

NFA ID 0518519
Name CARP, GEORGE CARL
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 03-05-2021

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
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 July 18, 2022

NFA ID 0518831 BOFA SECURITIES EUROPE SA

| Effective Date | 08-20-2019 |
| --- | --- |
| NFA ID | 0518916 |
| Name | FINUCANE, ANNE MARIE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-13-2019 |
| NFA ID | 0524289 |
| Name | FLEURIOT, PIERRE CHRISTIAN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-30-2019 |
| NFA ID | 0546868 |
| Name | HOLTZ, VANESSA KARIN YAELLE |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-01-2022 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-15-2019 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-21-2021 |
| NFA ID | 0546519 |
| Name | MORISSEAU, JEROME |
| Title(s) | DIRECTOR |

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

Viewed on July 18, 2022

NFA ID 0518831 BOFA SECURITIES EUROPE SA

10% or More Interest
No
Status
APPROVED
Effective Date
03-07-2022

NFA ID
0535182
Name
SARTORIUS, MARIE HELENE HENRIETTE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
12-14-2020

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
0308530
Full Name
NB HOLDINGS CORPORATION
10% or More Interest
Yes
Status
APPROVED
Effective Date
03-18-2019

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

BofA Securities Europe SA

7R updated Non-U.S. Regulator(s) During The Past 5 Years as of December 22, 2022

NFA

# Non-U.S. Regulator Information

Viewed on December 22, 2022

NFA ID 0518831 BOFA SECURITIES EUROPE SA

List of Non-U.S. Regulator(s) During The Past 5 Years

| Country | Regulator Name |
| --- | --- |
| FRANCE | AUTORITE DE CONTROLE PRUDENTIEL ET DE RESOLUTIUON |
| FRANCE | AUTORITÉ DES MARCHÉS FINANCIERS |
| INDIA | SECURITIES AND EXCHANGE BOARD OF INDIA |
| SWITZERLAND | SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY |
| FRANCE | EUROPEAN CENTRAL BANK |

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

# BofA Securities Europe SA

7R updated Non-U.S. Regulator(s) During The Past 5 Years as of January 23, 2023

NFA

# Non-U.S. Regulator Information

Viewed on December 28, 2022

NFA ID 0518831 BOFA SECURITIES EUROPE SA

List of Non-U.S. Regulator(s) During The Past 5 Years

| Country | Regulator Name |
| --- | --- |
| FRANCE | AUTORITE DE CONTROLE PRUDENTIEL ET DE RESOLUTIUON |
| FRANCE | AUTORITÉ DES MARCHÉS FINANCIERS |
| INDIA | SECURITIES AND EXCHANGE BOARD OF INDIA |
| SWITZERLAND | SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY |
| GERMANY | EUROPEAN CENTRAL BANK |

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

# BofA Securities Europe SA

7R updated Principals as of January 23, 2023

NFA

# Principal Information

Viewed on January 19, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

## Individual Information

NFA ID 0549933
Name BESSANT, CATHERINE POMBIER
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-05-2022

NFA ID 0527665
Name BESSOLES, FRANCK
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-24-2020

NFA ID 0518519
Name CARP, GEORGE CARL
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 03-05-2021

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
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)
Page 1 of 3

Viewed on January 19, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

| Effective Date | 08-20-2019 |
| --- | --- |
| NFA ID | 0524289 |
| Name | FLEURIOT, PIERRE CHRISTIAN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-30-2019 |
| NFA ID | 0546868 |
| Name | HOLTZ, VANESSA KARIN YAELLE |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-01-2022 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-15-2019 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-21-2021 |
| NFA ID | 0546519 |
| Name | MORISSEAU, JEROME |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-07-2022 |
| NFA ID | 0535182 |
| Name | SARTORIUS, MARIE HELENE HENRIETTE |
| Title(s) | DIRECTOR |

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

Viewed on January 19, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

10% or More Interest
No
Status
APPROVED
Effective Date
12-14-2020

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
0308530
Full Name
NB HOLDINGS CORPORATION
10% or More Interest
Yes
Status
APPROVED
Effective Date
03-18-2019

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

# BofA Securities Europe SA

7R updated Principals as of March 2, 2023

NFA

# Principal Information

Viewed on March 02, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

## Individual Information

NFA ID 0549933
Name BESSANT, CATHERINE POMBIER
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-05-2022

NFA ID 0527665
Name BESSOLES, FRANCK
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-24-2020

NFA ID 0518519
Name CARP, GEORGE CARL
Title(s) DIRECTOR
CHIEF FINANCIAL OFFICER
10% or More Interest No
Status APPROVED
Effective Date 03-05-2021

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
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)
Page 1 of 3

Viewed on March 02, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

| Effective Date | 08-20-2019 |
| --- | --- |
| NFA ID | 0524289 |
| Name | FLEURIOT, PIERRE CHRISTIAN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-30-2019 |
| NFA ID | 0546868 |
| Name | HOLTZ, VANESSA KARIN YAELLE |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-01-2022 |
| NFA ID | 0554884 |
| Name | HUSON, GEOFFREY ROY |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-01-2023 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-15-2019 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-21-2021 |
| NFA ID | 0546519 |
| Name | MORISSEAU, JEROME |
| Title(s) | DIRECTOR |

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

Viewed on March 02, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

10% or More Interest
No
Status
APPROVED
Effective Date
03-07-2022

NFA ID
0535182
Name
SARTORIUS, MARIE HELENE HENRIETTE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
12-14-2020

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
0308530
Full Name
NB HOLDINGS CORPORATION
10% or More Interest
Yes
Status
APPROVED
Effective Date
03-18-2019

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

# BofA Securities Europe SA

7R updated Principals as of May 23, 2023

NFA

# Principal Information

Viewed on May 18, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

## Individual Information

NFA ID 0549933
Name BESSANT, CATHERINE POMBIER
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 07-05-2022

NFA ID 0527665
Name BESSOLES, FRANCK
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-24-2020

NFA ID 0518519
Name CARP, GEORGE CARL
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 03-05-2021

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 08-20-2019

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

Viewed on May 18, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

NFA ID
0524289
Name
FLEURIOT, PIERRE CHRISTIAN
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
08-30-2019

NFA ID
0546868
Name
HOLTZ, VANESSA KARIN YAELLE
Title(s)
DIRECTOR
CHIEF EXECUTIVE OFFICER
10% or More Interest
No
Status
APPROVED
Effective Date
03-01-2022

NFA ID
0554884
Name
HUSON, GEOFFREY ROY
Title(s)
CHIEF FINANCIAL OFFICER
10% or More Interest
No
Status
APPROVED
Effective Date
03-01-2023

NFA ID
0519761
Name
LILLY, SHANNON LEON
Title(s)
HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
02-15-2019

NFA ID
0487786
Name
MENSAH, BERNARD AMPONSAH
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
05-21-2021

NFA ID
0546519
Name
MORISSEAU, JEROME
Title(s)
DIRECTOR
10% or More Interest
No

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

Viewed on May 18, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Status
APPROVED
Effective Date
03-07-2022

NFA ID
0535182
Name
SARTORIUS, MARIE HELENE HENRIETTE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
12-14-2020

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
0308530
Full Name
NB HOLDINGS CORPORATION
10% or More Interest
Yes
Status
APPROVED
Effective Date
03-18-2019

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

# BofA Securities Europe SA

7R updated Principals as of August 25, 2023

To make changes click Update.

Update

# Individual Information

Total Individual Principals: 11

Filter By: Choose a filter...

| NFA ID | Name | Title(s) | 10% or More Interest | Status | Effective Date |
| --- | --- | --- | --- | --- | --- |
| 0527665 | BESSOLES. FRANCK | CHIEF COMPLIANCE OFFICER | N | APPROVED | 02-24-2020 |
| 0470677 | DE WECK. PIERRE JACOUES PHILIPPE | DIRECTOR | N | APPROVED | 02-14-2019 |
| 0523939 | DHERS. HUBERT GUILLAUME | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION | N | APPROVED | 08-20-2019 |
| 0524289 | FLEURIOT. PIERRE CHRISTIAN | DIRECTOR | N | APPROVED | 08-30-2019 |
| 0546868 | HOLTZ. VANESSA KARIN YAELLE | DIRECTOR CHIEF EXECUTIVE OFFICER | N | APPROVED | 03-01-2022 |
| 0554884 | HUSON. GEOFFREY ROY | CHIEF FINANCIAL OFFICER | N | APPROVED | 03-01-2023 |
| 0519761 | LILLY. SHANNON LEON | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION | N | APPROVED | 02-15-2019 |
| 0487786 | MENSAH. BERNARD AMPONSAH | DIRECTOR | N | APPROVED | 05-21-2021 |
| 0546519 | MORISSEAU. JEROME | DIRECTOR | N | APPROVED | 03-07-2022 |
| 0535182 | SARTORIUS. | DIRECTOR | N | APPROVED | 12-14-2020 |

BofA Securities Europe SA

7R updated Principals as of December 15, 2023

NFA

# Principal Information

Viewed on December 15, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

## Individual Information

NFA ID 0527665
Name BESSOLES, FRANCK
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-24-2020

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 08-20-2019

NFA ID 0524289
Name FLEURIOT, PIERRE CHRISTIAN
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 08-30-2019

NFA ID 0546868
Name HOLTZ, VANESSA KARIN YAELLE
Title(s) DIRECTORCHIEF EXECUTIVE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 03-01-2022

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

Viewed on December 15, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

NFA ID
0554884
Name
HUSON, GEOFFREY ROY
Title(s)
CHIEF FINANCIAL OFFICER
10% or More Interest
No
Status
APPROVED
Effective Date
03-01-2023

NFA ID
0519761
Name
LILLY, SHANNON LEON
Title(s)
HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
02-15-2019

NFA ID
0487786
Name
MENSAH, BERNARD AMPONSAH
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
05-21-2021

NFA ID
0546519
Name
MORISSEAU, JEROME
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
03-07-2022

NFA ID
0535182
Name
SARTORIUS, MARIE HELENE HENRIETTE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
12-14-2020

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

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

Viewed on December 15, 2023

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Effective Date
12-15-2023

Holding Company Information

NFA ID
0308530

Full Name
NB HOLDINGS CORPORATION

10% or More Interest
Yes

Status
APPROVED

Effective Date
03-18-2019

OMB Numbers 3038-0023 (exp. April 30, 2026) &amp; 3038-0072 (exp. August 31, 2026)
Page 3 of 3

BofA Securities Europe SA

7R updated Principals as of March 27, 2024

NFA

# Principal Information

Viewed on March 15, 2024

NFA ID 0518831 BOFA SECURITIES EUROPE SA

# Individual Information

NFA ID 0527665
Name BESSOLES, FRANCK
Title(s) CHIEF COMPLIANCE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 02-24-2020

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 08-20-2019

NFA ID 0524289
Name FLEURIOT, PIERRE CHRISTIAN
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 08-30-2019

NFA ID 0561208
Name FRICK, FIONA
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 01-18-2024

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

Viewed on March 15, 2024

NFA ID 0518831 BOFA SECURITIES EUROPE SA

NFA ID
0546868
Name
HOLTZ, VANESSA KARIN YAELLE
Title(s)
DIRECTORCHIEF EXECUTIVE OFFICER
10% or More Interest
No
Status
APPROVED
Effective Date
03-01-2022

NFA ID
0554884
Name
HUSON, GEOFFREY ROY
Title(s)
CHIEF FINANCIAL OFFICER
10% or More Interest
No
Status
APPROVED
Effective Date
03-01-2023

NFA ID
0519761
Name
LILLY, SHANNON LEON
Title(s)
HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest
No
Status
APPROVED
Effective Date
02-15-2019

NFA ID
0487786
Name
MENSAH, BERNARD AMPONSAH
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
05-21-2021

NFA ID
0546519
Name
MORISSEAU, JEROME
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
03-07-2022

NFA ID
0535182
Name
SARTORIUS, MARIE HELENE HENRIETTE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED

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

Viewed on March 15, 2024

NFA ID 0518831 BOFA SECURITIES EUROPE SA

| Effective Date | 12-14-2020 |
| --- | --- |
| 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 | 0496348 |
| Name | WOODS, THOMAS DUNNE |
| TItle(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-14-2024 |

Holding Company Information

| NFA ID | 0308530 |
| --- | --- |
| Full Name | NB HOLDINGS CORPORATION |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 03-18-2019 |

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

# BofA Securities Europe SA

7R updated Principals as of July 22, 2024

NFA

# Principal Information

Viewed on July 18, 2024

NFA ID 0518831 BOFA SECURITIES EUROPE SA

# Individual Information

NFA ID 0470677
Name DE WECK, PIERRE JACQUES PHILIPPE
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 02-14-2019

NFA ID 0523939
Name DHERS, HUBERT GUILLAUME
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 08-20-2019

NFA ID 0524289
Name FLEURIOT, PIERRE CHRISTIAN
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 08-30-2019

NFA ID 0561208
Name FRICK, FIONA
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 01-18-2024

NFA ID 0546868
Name HOLTZ, VANESSA KARIN YAELLE
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 July 18, 2024

NFA ID 0518831 BOFA SECURITIES EUROPE SA

| Effective Date | 03-01-2022 |
| --- | --- |
| NFA ID | 0554884 |
| Name | HUSON, GEOFFREY ROY |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-01-2023 |
| NFA ID | 0519761 |
| Name | LILLY, SHANNON LEON |
| Title(s) | HEAD OF BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-15-2019 |
| NFA ID | 0487786 |
| Name | MENSAH, BERNARD AMPONSAH |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-21-2021 |
| NFA ID | 0546519 |
| Name | MORISSEAU, JEROME |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-07-2022 |
| NFA ID | 0564938 |
| Name | RIOULT DE NEUVILLE, FRANCOIS |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-17-2024 |
| NFA ID | 0535182 |
| Name | SARTORIUS, MARIE HELENE HENRIETTE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |

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

Viewed on July 18, 2024

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Status
APPROVED
Effective Date
12-14-2020

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
0496348
Name
WOODS, THOMAS DUNNE
Title(s)
DIRECTOR
10% or More Interest
No
Status
APPROVED
Effective Date
02-14-2024

Holding Company Information

NFA ID
0308530
Full Name
NB HOLDINGS CORPORATION
10% or More Interest
Yes
Status
APPROVED
Effective Date
03-18-2019

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

**Attachment 2:** `BofASEFranceOpinion4.pdf`

# BofA Securities Europe SA

Form SBSE-A

Supplemental Filing Attachment:

Schedule F, Section I, Item 2

Legal Opinion Pursuant to Exchange Act Rule 15Fb2-4(c)(1)(ii)

May 19, 2025

CLEARY GOTTLIEB STEEN &amp; HAMILTON LLP
AVOCATS AU BARREAU DE PARIS

| AMERICAS NEW YORK SAN FRANCISCO SÃO PAULO SILICON VALLEY WASHINGTON, D.C. | 2 rue Meyerbeer 75009 Paris T: +33 1 40 74 68 00 F: +33 1 40 74 68 88 clearygottlieb.com | ROGER J. BENBURI JEAN-PIERRE VIGNAUD GILLES ENTRAYGUES FRANÇOIS JONEMANN JEAN-MARIE AMBROSI FABRICE BAUMGARTNER ANDREW A. BERNSTEIN SENIOR COUNSEL |
| --- | --- | --- |
| ASIA BEIJING HONG KONG SEOUL | Toque J21 | PIERRE-YVES CHABERT JEAN-YVES GARAUD JOHN D. BRINITZER MARIE-LAURENCE TIBI VALERIE LEMAYTRE ANNE-SOPHIE COUSTEL BARTHÉLEMY FAYE AMÉLIE CHAMPSAUR CHARLES MASSON FRÉDÉRIC DE BURE SÉVERINE SCHRAMECK RODOLPHE ELINEAU DELPHINE MICHOT SOPHIE DE BEER LAURIE ACHTOUK-SPIVAK |
| EUROPE & MIDDLE EAST ABU DHABI BRUSSELS COLOGNE FRANKFURT LONDON MILAN PARIS ROME |  | GUILLAUME DE RANCOURT LAURA BIRENE COUNSEL |

April 17, 2025

To : BofA Securities Europe SA

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

We have acted as special French counsel to BofA Securities Europe SA (the “Bank”), a credit institution licensed by the French Autorité de Contrôle Prudentiel et de Résolution (the “ACPR”), in connection with its 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”) that is a “foreign security-based swap dealer” as defined in 17 C.F.R. § 240.3a71-3(a)(7).

In connection with such registration, we have been asked to analyze the following questions:

(a) whether the Bank can, as a matter of French law (as defined below), provide the SEC with prompt access to its Covered Books and Records; and
(b) whether the Bank can, as a matter of French 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. § 240.15Fb2-4(c)(1)(ii).

For the purposes of this opinion letter:

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

April 17, 2025

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

"Authorities" means the French Authorities and the SEC.

"Covered Activities" means all services, activities, and conduct of the Bank related to security-based swaps and/or security-based swap agreements (as those terms are defined by the Exchange Act) that are part of the "U.S. business" (as defined in 17 C.F.R. § 240.3a71-3(a)(8)) of the Bank and are governed by Laws and Regulations (as defined in the French MOUs).

"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 a Bank with a U.S. person (other than an SBS transaction conducted through a foreign branch of such U.S. person); or
(ii) arranged, negotiated, or executed by personnel of a Bank located in a U.S. branch or office, or by personnel of an agent of that Bank located in a U.S. branch or office; or

(b) constitute financial records necessary for the SEC to assess the Bank'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 Bank submits an application for registration are not Covered Books and Records.

"EU" means the European Union.

"French law" means the laws and regulations of the French Republic, including but not limited to the French Blocking Statute1 and the Bank Secrecy Statute,2 as well as EU regulations (or provisions thereof) that are directly applicable in France without the need to be transposed into national law, as applied in France.

"GDPR" means Regulation (EU) 2016/679 (General Data Protection Regulation).

1 Loi n° 68-678 du 26 juillet 1968 relative à la communication de documents et renseignements d'ordre économique, commercial, industriel, financier ou technique à des personnes physiques ou morales étrangères, as amended (the "French Blocking Statute").

2 Articles L. 511-33 and L. 632-17, II of the French Monetary and Financial Code.

April 17, 2025

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

In arriving at our opinions below, we have reviewed:

(a) the Memorandums of understanding between the SEC, the French Autorité des Marchés Financiers (the “AMF”) and the ACPR (together with the AMF, the “French Authorities”), concerning consultation, cooperation and the exchange of information related to the supervision and oversight of certain cross-border over-the-counter derivatives entities3, and 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 entities4, both dated July 23, 2021 (the “French MOUs”);

(b) the IOSCO administrative arrangement for the transfer of personal data (the "IOSCO Administrative Agreement") to which both the SEC and the AMF are signatories;

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

(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 6 April, 2020 (the “SEC Rules and Guidance”);

(e) the SEC’s 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 French Republic dated July 23, 2021 (Release No. 34-92484; File No. S7-22-20), and subsequently amended and restated order dated October 22, 2021 (Release No. 34-93411; File No. S7-08-21) (“Substituted Compliance Order”);

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 the opinions expressed below, we have assumed, and have not verified, the following:

3 Available at: https://www.amf-france.org/sites/institutionnel/files/private/2021-07/7.23.21-supervisory-mou-france-final-secured.pdf

4 Available at: https://www.amf-france.org/sites/institutionnel/files/private/2021-07/7.23.21-substituted-compliance-mou-france-final-secured.pdf

April 17, 2025

(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 French MOUs and the IOSCO Administrative Agreement are in full force and effect and no notice of termination has been sent pursuant to Article X of the MoU and no notice of discontinuation has been sent between the SEC and the AMF pursuant to Article V of the IOSCO Administrative Agreement; and
(c) the SEC and the French Authorities (as applicable) will comply in all respects with all provisions of the French MOUs and IOSCO Administrative Agreement.

## 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 Bank can, as a matter of French law, provide the SEC with prompt access to its Covered Books and Records; and
(b) the Bank can, as a matter of French law, submit to on-site inspection and examination by the SEC of its Covered Books and Records.

## III. Qualifications

The opinions above are subject to the qualifications set out below:

1. This opinion is confined to legal matters, and we express no opinion as to any factual matters (whether occurring before or after the Application Date).
2. French legal concepts addressed in this opinion letter in the English language may not be fully equivalent to similar concepts that may be familiar to a foreign court. This opinion letter shall be governed by French law and construed in accordance with French rules of construction.
3. The opinion statements set out above are limited to French law. We do not express any opinion as to, and have not made any investigation of, any law other than French law in force as at the Application Date and as applied according to published case law as at the Application Date.
4. The opinion statements set out above are premised upon and take into account the Substituted Compliance Order, granted in accordance with 17 C.F.R. § 240.3a71-6, which requires as a pre-requisite to a determination request that the relevant foreign financial authority provides "adequate assurances" to the SEC that "no law or policy of any relevant foreign jurisdiction would impede the ability of any entity that is directly supervised by the foreign financial regulatory authority and that may register with the Commission as a security-based swap dealer or major security-based swap participant to provide prompt

April 17, 2025

access to the Commission to such entity's books and records or to submit to onsite inspection or examination by the Commission."5

5. The opinion statements set out above are premised upon and taking into account the ICO Letter, which is based on the GDPR which was in force in the UK at the time of the publication of the ICO Letter and which "interpret[ed] in the light of the EU Charter of Fundamental Rights and the European Convention of Human Rights"- and "is consistent with the European Data Protection Board guide lines".6 We note however that the (i) the Commission nationale de l'informatique et des libertés (the "CNIL") is the competent authority with respect to the application of GDPR and other applicable data privacy laws (the "Data Privacy Laws") in France, (ii) the ICO's interpretation of the GDPR is not binding on the CNIL, who may in the future adopt an interpretation of GDPR that differs from the ICO's.

6. 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. To that end, 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 is required to submit a revised opinion describing how, as a matter of French law, the SBSD will continue to meet its obligations.

7. 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 Bank and, solely for purposes of the condition to registration pursuant to 17 C.F.R. § 240.15Fb2-4(c)(1)(ii), the SEC, and is not to be relied on by, or furnished to, any other person or used,

April 17, 2025

circulated, quoted or otherwise referred to for any other purpose, except that the Bank may submit this opinion letter to the SEC as part of its application to register as a non-resident SBSD. In authorizing the Bank to make this opinion letter available to the SEC for such purposes, we are not establishing any lawyer-client relationship with the SEC.

This opinion 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,

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

By: ___________________________

Amélie Champsaur, a Partner

**Attachment 3:** `BofASESBSDACombined13BAmd23.pdf`

BofA Securities Europe SA

Form SBSE-A

Supplemental Filing Attachment:
Amendment to Schedule B, Section II
Item 13B
May 19, 2025

BofA Securities Europe SA - 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 |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| JOINT STOCK COMPANY "CITIBANK" | 549300E0ROT17ACBZH02 | Bud.16-g, Dilova Str |  | Kyiv | Ukraine | 03150 | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| KBC Bank Bulgaria EAD | 5299009KAL4KO7584196 | 55 Nikola Vaptsarov Blvd., Expo 2000, Phase III, 4 floor |  | Sofia | Bulgaria | 1407 | 10/26/2021 | 03/31/2024 | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| LCH LIMITED | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street |  | London | United Kingdom | EC3N 1EA | 10/26/2021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| LONDON STOCK EXCHANGE GROUP PLC | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street |  | London | United Kingdom | EC3N 1EA | 10/26/2021 | 1/1/2024 | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| N A CITIBANK | E57ODZWZ7FF32TWEFA76 | 388 Greenwich Street |  | New York | NY | 10013 | 10/26/2021 | 08/31/2024 | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| NASDAQ CLEARING AB | 54930002A8LR1AAUCU78 | Tullvaktsvägen 15 |  | STOCKHOLM | SWEDEN | SE-115 56 | 10/26/2021 |  | Third Party arrangement with others with respect to |

|  |  |  |  |  |  |  |  |  | Custody, Clearance, or Settlement |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| SKANDINAVISKA ENSKILDA BANKEN AB | F3JS33DEI6XQ4ZBPT N86 | Kungsträdgårds gatan 8 |  | STOCKHO LM | SWEDEN | SE-106 40 | 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 | 03/31/2 024 | 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 | 03/31/2 024 | 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 | 03/31/2 024 | 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 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| STANBIC IBTC BANK PLC | 029200098C3K8BI2D 551 | I.B.T.C Place, Walter Carrington Crescent | Victori a Island | Lagos | Nigeria | 100 | 10/26/2 021 |  | 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 | 10/26/2 021 |  | 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 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |

| STANDARD CHARTERED BANK KENYA LTD | 549300RBHWW5EJIR G629 | 48 Westlands Road, P. O. Box 30003 |  | Nairobi | Kenya | 00100 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| STANDARD CHARTERED BANK, BAHRAIN BRANCH | RILFO74KP1CM8P6P CT96 | Building no.180, Government Avenue |  | Manama | Kingdon of Bahrain | 315 | 10/26/2 021 |  | 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 |  | 10/26/2 021 |  | 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 |  | 10/26/2 021 |  | 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 |  | 10/26/2 021 |  | 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 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| THE HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (SRI LANKA BRANCH) | 2HI3YI5320L3RW6NJ 957 | No 24, Sir Baron Jayatilaka Mawatha |  | Colombo | Sri Lanka | 1 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| THE STANDARD BANK OF SOUTH AFRICA LTD | QFC8ZCW3Q5PRXU1 XTM60 | Investor Services, 3rd Floor, 25 Pixley Ka Isaka Seme Street |  | Johannesburg | 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 |  | Praha 4 - Michle | Czech Republic | 140 92 | 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 |  | Bratislava | Czech Republic | 813 33 | 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 |  | Bucharest | Romania | RO-012101 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| UNICREDIT BANK S.A. | 5493003BDYD5VPGU QS04 | 1F Expozitiei Blvd. |  | Bucharest | Romania | RO-012101 | 10/26/2 021 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| UNICREDIT BANKA SLOVENIJA d.d. | 54930002UN9JLME3 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 |  | Tunis | Tunisia | 1000 | 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 |
| CITIBANK KAZAKHSTAN | 95XXGORQK31JZP82 OG22 | ул.Зенкова, дом 26/41 |  | Almaty | Kazakhstan | 050020 | 05/09/2 024 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| TRADEWEB MARKETS LLC | 5493000G5QHJUY9Z WQ91 | 2200 PLAZA FIVE |  | Jersey City | New Jersey | 731140 06 | 05/01/2 024 |  | Third Party arrangement with others with respect to Execute or Trade |

| UNICREDIT BANK SRBIJA A.D. | 5299000100THU00T YK59 | Jurija Gagarina 12, Belgrade Business Center |  | Novi Beograd | Srbija | 11070 | 07/01/2 024 |  | Third Party arrangement with others with respect to Custody, Clearance, or Settlement |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| MTS FRANCE | 969500GRHFQL0TGX N535 | 14 PLACE DES REFLETS |  | COURBEV OIE | France | 92400 | 12/01/2 024 |  | Third Party arrangement with others with respect to Execute or Trade |
| CLEARSTREAM INTERNATIONAL SA | 222100I12S92YQIZQ D75 | 42, AVENUE J.F. KENNEDY |  | LUXEMB OURG | Luxembour g | L-1855 | 04/01/20 25 |  | Third Party arrangement with others with respect to Execute or Trade |

**Attachment 4:** `BofASESBSDAmd23SumChange.pdf`

# BofA Securities Europe SA

Form SBSE-A

Amendment - SBSE-A/A

May 19, 2025

The following changes were made in this Amendment:

## Changes to Schedule B, Section II Item 13B

CLEARSTREAM INTERNATIONAL SA - Added 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

## Updated Legal Opinion Pursuant to Exchange Act Rule 15Fb2-4(c)(1)(ii)

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

### Applicant Information

**Full Applicant Name:** BofA Securities Europe SA

**NFA Number:** 518831

**IRS Employer ID No.:** 98-1453372

**CIK:** 0001803522

**UIC:** 549300FH0WJAPEHTIQ77

**Main Address:** 49-51 RUE LA BOETIE, PARIS, I0, 75008

**Business Telephone:** 33187700000

**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:** Francois Rioult de Neuville

- **Title:** Managing Director; Regional Compliance & Op Risk Exec

- **Phone:** 33-1-87-70-04-53

- **Email:** francois.rioult_de_neuville@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:**
BofA Securities Europe SA (BofASE), a subsidiary of Bank of America Corporation (BAC), has been established in France to provide BAC with the ability to provide global market products and services to its EEA ex-UK clients and maintain access to EEA ex-UK markets. BofASE is regulated by the ACPR and AMF. Primary business activities provided by BofASE include broker and dealer services in equities and fixed income (including among others rates, credit, global financing & futures), currency and commodities financial instruments, capital markets services including equities, debt and leveraged finance services, post trade related services, clearing and custody services and research. BofASE has been provisionally registered with the Commodity Futures Trading Commission (CFTC) as a Swap Dealer on 15 March 2019. BofASE is also registered with the National Futures Association, which has examination authority over its Swap Dealer activities.

### 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:** 11

### Schedule A: Principals

| Name                             | Title or Status                                        | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Bernard Amponsah Mensah          | Director                                               | 05/2021         | 05/2021              |  |       487786 |
| Hubert Guillaume Dhers           | Head of a Business, Division or Function               | 08/2019         | 08/2019              |  |       523939 |
| Marie Helene Henriette Sartorius | Director                                               | 12/2020         | 10/2020              |  |       535182 |
| Pierre Christian Fleuriot        | Director                                               | 08/2019         | 08/2019              |  |       524289 |
| Pierre Jacques Philippe De Weck  | Director                                               | 02/2019         | 01/2019              |  |       470677 |
| Vanessa Karin Yaelle Holtz       | Director/Chief Executive Officer                       | 12/2021         | 08/2019              |  |       546868 |
| Geoffrey Roy Huson               | Chief Financial Officer/Deputy Chief Executive Officer | 03/2023         | 02/2023              |  |       554884 |
| Douglas Charles Spell            | Head of a Business Unit, Division or Function          | 12/2023         | 11/2023              |  |       560329 |
| Fiona Frick                      | Director                                               | 01/2024         | 12/2023              |  |       561208 |
| Thomas Dunne Woods               | Director                                               | 02/2024         | 01/2024              |  |       496348 |
| Francois Rioult de Neuville      | Chief Compliance Officer                               | 07/2024         | 06/2024              |  |       564938 |

### Schedule B: Explanations

**Description:**
BofASE's non-securities related financial services include, among others, Swap Dealer activities, investment services on emission allowances, non-securities FX products such as FX spot, banking intermediation services to other group banking entities and advice to undertakings on capital structure, industrial strategy and related questions and advice as well as services relating to mergers and the purchase of undertakings.

**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, 10001

  - **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, Building 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:** 10-26-2021

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

- **Name:** AQUIS EXCHANGE EUROPE

  - **Address:** 231 RUE SAINT HONORE, PARIS, H9, 75001

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

  - **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:** BANK OF GREECE S.A.

  - **Address:** 21 El. Venizelou, ATHENS, J3, 10250

  - **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, 100221331

  - **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:** BME MARKET DATA, S.A.

  - **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:** 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:** BOLSAS Y MERCADOS ESPANOLES, SISTEMAS DE NEGOCIACION, S.A.

  - **Address:** PLAZA LEALTAD (PALACIO DE LA BOLSA) 1, MADRID, U3, 28014

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

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

- **Name:** BONDSPOT S A

  - **Address:** Ul. Ksiazeca 4, Warszawa, R9, 00-498

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

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

- **Name:** BORSA ITALIANA SPA

  - **Address:** PIAZZA DEGLI AFFARI 6, Milano, L6, 20123

  - **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:** CBOE EUROPE BV

  - **Address:** Gustav Mahlerlaan 1212, Amsterdam, P7, 1081 LA

  - **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:** CHICAGO MERCANTILE EXCHANGE INC.

  - **Address:** 20 S WACKER DR, Chicago, IL, 606067431

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

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

- **Name:** CME AMSTERDAM B.V

  - **Address:** Nieuwezijds Voorburgwal 104 1.05 en 1.06, Amsterdam, P7, 1012 SG

  - **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:** EUREX FRANKFURT 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:** EUREX REPO GMBH

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

  - **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 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 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:** EUROPEAN ENERGY EXCHANGE AG

  - **Address:** Augustusplatz 9, Leipzig, 2M, 4109

  - **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:** HELLENIC EXCHANGES - ATHENS STOCK EXCHANGE S.A.

  - **Address:** 110 Athinon Ave, ATHENS, J3, 10442

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

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

- **Name:** HRTEU LIMITED

  - **Address:** 7 Grand Canal. Grand Canal Street Lower, Dublin, L2, D02 KW81

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

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

- **Name:** ICE ENDEX MARKETS B.V.

  - **Address:** Hoogoorddreef 7 Australia bl, Amsterdam, P7, 1101 BA

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

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

- **Name:** ICE FUTURES EUROPE

  - **Address:** Milton Gate, LONDON, X0, EC1Y 4AG

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

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

- **Name:** INTEGRAL DEVELOPMENT CORPORATION (EUROPE) LIMITED

  - **Address:** 19th floor, 100 Bishopsgate, LONDON, X0, EC2N 4AG

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

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

- **Name:** KING & SHAXSON CAPITAL LTD

  - **Address:** First Floor Cutlers Court, LONDON, X0, EC3A 7BR

  - **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 EUROPE LTD

  - **Address:** 5 (10th Floor) Aldermanbury Square, LONDON, X0, EC2V 7HR

  - **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:** MEFF SOCIEDAD RECTORA DEL MERCADO DE PRODUCTOS DERIVADOS S.A.U

  - **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:** MTS ASSOCIATED MARKETS

  - **Address:** RUE DES COMEDIENS, 16-22, Bruxelles, C9, 1000

  - **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:** NASDAQ COPENHAGEN A/S

  - **Address:** Nikolaj Plads 6, KOBENHAVN, G7, 1067

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

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

- **Name:** NASDAQ OMX HELSINKI OY

  - **Address:** Fabianinkatu 14, HELSINKI, H9, 100

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

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

- **Name:** NASDAQ STOCKHOLM AB

  - **Address:** Tullvaktsvagen 15, Stockholm, V7, 115 56

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

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

- **Name:** OSLO BORS ASA

  - **Address:** Tollbugata 2, Oslo, Oslo, Q8, 152

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

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

- **Name:** SOCIEDAD RECTORA DE LA BOLSA DE VALORES DE MADRID SA

  - **Address:** PLAZA LEALTAD (PALACIO DE LA BOLSA) 1, MADRID, U3, 28014

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

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

- **Name:** STATE STREET GLOBAL MARKETS INTERNATIONAL LIMITED

  - **Address:** 20 Churchill Place Canary Wharf, LONDON, X0, E14 5HJ

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

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

- **Name:** TFS-ICAP LTD

  - **Address:** Beaufort House, LONDON, X0, EC3A 7QX

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

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

- **Name:** THE IRISH STOCK EXCHANGE PUBLIC LIMITED COMPANY

  - **Address:** 28 Anglesea Street, Dublin, L2, none

  - **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:** VIRTU EUROPE TRADING LIMITED

  - **Address:** George's Court, Dublin, L2, 2

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

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

- **Name:** WARSAW STOCK EXCHANGE

  - **Address:** Ksiazeca 4, Warszawa, R9, 00-498

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

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

- **Name:** WIENER BORSE AG

  - **Address:** WallnerstraBe 8, WIEN, C3, 1010

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

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

- **Name:** GFI Securities LTD

  - **Address:** 1 Snowden Street, LONDON, X0, EC2A 2DQ

  - **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, Paris, I0, FR 75 750

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

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

- **Name:** BME CLEARING SA

  - **Address:** PLAZA DE LA LEALTAD 1, 1, Madrid, U3, 28014

  - **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, Zurich, V8, 8022

  - **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, 00186

  - **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, P7, 1077XX

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

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

- **Name:** CCP AUSTRIA ABWICKLUNGSSTELLE FUR BORSENGESCHAFTE GMBH

  - **Address:** Strauchgasse 1-3, AT-9, Wien, C4, 1010

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

  - **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 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 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,Metro Manila, Taguig City, 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 Sqr 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 Building, Sukhumvit Rd, Klongtoey Nua, Wattana Dst, 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:** 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. 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:** 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, 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, Brussels, C9, B 1210

  - **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:** EUROPEAN COMMODITY CLEARING AG

  - **Address:** Augustusplatz 9, 04109, Leipzig, Germany, Safat, M6, 13017

  - **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 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:** Securities Services Dept,(HSS Dept), 2nd Fl, Ali Bin Ali Tower Bldg #150, 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:** HSBC Head Office, 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 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

**Controlling Entity:**

- **Name:** NB Holdings Corporation

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

  - **Effective Date:** 10-29-2021

  - **Arrangement:** BofA Securities Europe SA is owned by: (1) NB Holdings Corporation (which owns 99.9%); and (2) Merrill Lynch Group Holdings I, LLC (which owns .1%). Merrill Lynch Group Holdings I, LLC is wholly owned by Merrill Lynch International, LLC, which in turn is wholly-owned by NB Holdings Corporation. NB Holdings Corporation is wholly owned by Bank of America Corporation.

- **Name:** Bank of America Corporation

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

  - **Effective Date:** 10-29-2021

  - **Arrangement:** BofA Securities Europe SA is owned by: (1) NB Holdings Corporation (which owns 99.9%); and (2) Merrill Lynch Group Holdings I, LLC (which owns .1%). Merrill Lynch Group Holdings I, LLC is wholly owned by Merrill Lynch International, LLC, which in turn is wholly-owned by NB Holdings Corporation. NB Holdings Corporation is wholly owned by Bank of America Corporation.

- **Name:** Merrill Lynch Group Holdings I, LLC

  - **Address:** 1209 Orange Street, Corporation Trust Center, Wilmington, DE, 19801

  - **Effective Date:** 10-29-2021

  - **Arrangement:** BofA Securities Europe SA is owned by: (1) NB Holdings Corporation (which owns 99.9%); and (2) Merrill Lynch Group Holdings I, LLC (which owns .1%). Merrill Lynch Group Holdings I, LLC is wholly owned by Merrill Lynch International, LLC, which in turn is wholly-owned by NB Holdings Corporation. NB Holdings Corporation is wholly owned by Bank of America Corporation.

- **Name:** Merrill Lynch International, LLC

  - **Address:** 1209 Orange Street, Corporation Trust Center, Wilmington, DE, 19801

  - **Effective Date:** 10-29-2021

  - **Arrangement:** BofA Securities Europe SA is owned by: (1) NB Holdings Corporation (which owns 99.9%); and (2) Merrill Lynch Group Holdings I, LLC (which owns .1%). Merrill Lynch Group Holdings I, LLC is wholly owned by Merrill Lynch International, LLC, which in turn is wholly-owned by NB Holdings Corporation. NB Holdings Corporation is wholly owned by Bank of America Corporation.

### Execution

**Date:** 06-09-2025

**Name of Applicant:** BofA Securities Europe SA

**Signature:** /s/ Geoffrey Huson

**Printed Name:** Geoffrey Huson

**Title:** Deputy CEO