# EDGAR Filing Document

**Accession Number:** 0001140465
**File Stem:** 0001140465-23-000017
**Filing Date:** 2023-2
**Character Count:** 56531
**Document Hash:** 4674239dd41e7dbabcb59779d1ca3adc
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140465-23-000017.hdr.sgml**: 20230208

**ACCESSION NUMBER**: 0001140465-23-000017

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

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20230202

**DATE AS OF CHANGE**: 20230208

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HSBC BANK PLC
- **CENTRAL INDEX KEY:** 0001140465
- **STANDARD INDUSTRIAL CLASSIFICATION:** COMMERCIAL BANKS, NEC [6029]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00169
- **FILM NUMBER:** 23597344

**BUSINESS ADDRESS:**
- **STREET 1:** 8 CANADA SQUARE
- **STREET 2:** LEVEL 3
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** E14 5HQ
- **BUSINESS PHONE:** 00447796704226

**MAIL ADDRESS:**
- **STREET 1:** 8 CANADA SQUARE
- **STREET 2:** LEVEL 3
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** E14 5HQ

### Attached PDF Documents

**Attachment 1:** `HSBCSupplemental.pdf`

HSBC Bank plc
Form SBSE-A
Initial Filing - October 29, 2021

In connection with the Form SBSE-A for HSBC Bank plc (“HBEU”), please see supplemental information below.

**Item 13A:** There was no field to provide the respective brief description for this item in Edgar. For the brief description of the nature of the arrangement with respect to books or records, please see the following:

1) Bloomberg Finance L.P. - Bloomberg provides archiving services for records that have been sent to or received from HSBC via the Bloomberg Terminal.
2) Global Relay Communications Inc. - Global Relay Archive provides electronic message archiving for Bloomberg Bmail, Instant Bloomberg, ICE Chat, Symphony and Thomson Reuters Messaging records

**Item 14:** There was no field to provide the respective brief description for this item in Edgar. For the brief description of the nature of the control or agreement, please see the following:

- HSBC Holdings plc. is the direct parent/holding company of HBEU.

**Item 15:** HSBC Holdings plc at various times will make capital contributions to its subsidiaries, including HBEU.

INTERNAL

**Attachment 2:** `HSBCscheduleF.pdf`

simmons
+simmons

# Memo

| To | HSBC Bank plc | From | Simmons & Simmons LLP |
| --- | --- | --- | --- |
| Copy to |  | Date | 01 November 2021 |
|  |  | Our ref | 044211-00334 |
| Subject | Legal opinion as to HSBC Bank plc's ability to provide the SEC with prompt access to its covered books and records and submit to onsite inspection and examination by the SEC as part of its SBSD registration ("Opinion") | Client | HSBC |

## 1. Background and Basis of Opinion

1.1 HSBC Bank plc ("HBEU"), which is a member of the group of companies owned by HSBC Holdings plc, its subsidiaries and associated companies ("HSBC Group"), is registering as a security-based swap ("SBS") dealer ("SBSD") with the U.S. Securities and Exchange Commission (the "SEC"). HBEU is a company incorporated under the laws of England and Wales and is authorised by the Prudential Regulation Authority of the Bank of England ("PRA") and regulated by the Financial Conduct Authority ("FCA") and PRA, in the United Kingdom (the "UK"). HBEU is a "non-resident" SBSD for the purpose of the SEC's SBSD registration rules (i.e. a corporate SBSD that is incorporated in any place outside the United States ("US"))1.

1.2 To register as a non-resident SBSD, HBEU must: (i) certify on Schedule F of Form SBSE, SBSE-A, or SBSE-BD that it can, as a matter of law, and will provide the SEC with prompt access to its books and records and submit to onsite inspection and examination by the SEC; and (ii) attach an opinion of counsel that it can, as a matter of law, provide the SEC with prompt access to its books and records and can, as a matter of law, submit to onsite inspection and examination by the SEC (altogether, the "SEC Certification and Opinion of Counsel Requirement").2

1.3 This Opinion has been produced by Simmons & Simmons LLP on the basis of the information provided to Simmons & Simmons LLP by HBEU in relation to the relevant recordkeeping systems that will be maintained by or on behalf of HBEU (the "Relevant Systems") which HBEU has confirmed contain the "books and records" required to be covered by the SEC Certification and Opinion of Counsel Requirement (the "Covered Books and Records").

1.4 This Opinion is provided by Simmons & Simmons LLP to HBEU and is legally privileged and confidential. No other person may rely on this advice for any purpose without Simmons & Simmons LLP's prior written consent. However, this advice may be provided by HBEU to the SEC as part of its application for registration by the SEC as a SBSD, on the basis that such disclosure is not intended to operate as a more general waiver of legal privilege and Simmons & Simmons LLP assumes no liability or responsibility to the SEC or any other third party as a result, or otherwise.

1 See 17 C.F.R. § 240.15Fb2-4(a)(2), available at https://ecfr.io/Title-17/Section-240.15Fb2-4.

2 See 17 C.F.R. § 240.15Fb2-4(c)(1), available at https://ecfr.io/Title-17/Section-240.15Fb2-4.

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L_LIVE_EMEA1:51824119v6

1.5 This Opinion addresses matters of the law of England and Wales and, where expressly stated, UK-wide laws and regulations as at the date it is given. We give no opinion as to the law of any other jurisdiction.

1.6 The SEC rules require HBEU to re-certify within 90 days after any changes in the legal or regulatory framework that would impact the ability of HBEU 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 HBEU. Upon such change of law, HBEU is required to submit a revised Opinion describing how, as a matter of foreign law, HBEU will continue to meet its obligations.

2. **Opinion**

***Executive Summary***

2.1 As a matter of English law, there is no general restriction on HBEU providing access to information maintained in the Covered Books and Records to an overseas regulator such as the SEC. However, as regards certain of the Covered Books and Records, there are restrictions in the following areas which fall to be considered and are addressed in this Opinion:

- **Data Protection Law** - information that is covered by the law relating to data protection;
- **Duty of Confidentiality** - information that relates to customers of HBEU and may be subject to obligations of confidentiality owed by HBEU to those customers;
- **Regulatory Communications** - information that may be subject to obligations of confidentiality in respect of regulators in the UK.

2.2 In our opinion, on the basis of the facts and matters set out below, despite these restrictions HBEU can, as a matter of law, provide the SEC with prompt access to the Covered Books and Records and can, as a matter of law, submit to onsite inspection and examination by the SEC for the reasons set out below.

***Data Protection Law***

2.3 Since HBEU is established in the UK (e.g., as a company incorporated in England and Wales that carries out business in the UK), all personal data processing which it carries out (regardless of the location of the relevant individuals, i.e. “*data subjects*”) will be subject to the General Data Protection Regulation (EU) 2016/679 as incorporated into UK law by virtue of Section 3 of the European Union (Withdrawal) Act 2018 (the “UK GDPR”) and the UK’s Data Protection Act 2018 (the “DPA 2018”), together referred to as “UK Data Protection Law”. Since the Covered Books and Records are held and maintained by or on behalf of HBEU for its own purposes such that HBEU is a controller of the Relevant Data, sharing of the Relevant Data with the SEC will be subject to the UK GDPR and, as such, the transfer to or access by the SEC of any personal data will be considered a processing activity, and so require a lawful basis.

2.4 Based on our review of the type of information that we understand will be contained in the Covered Books and Records on the Relevant Systems, such information will comprise of the following categories of “*personal data*” under UK Data Protection Law:

2
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L_LIVE_EMEA1:45921626v1

- “Ordinary Personal Data”, including contact details, trading activity (including related communications) and basic HR details;
- “Criminal Conviction Data”, primarily collected through client screening and employee certifications; and
- “Special Category Personal Data” for US citizens and residents only, namely political opinion data

(collectively, the “Relevant Data”). We also understand the Relevant Data will relate to individuals (i.e. “data subjects”) comprising of HSBC workers (e.g., officers, directors, employees, contractors, secondees, interns and agents of the HSBC Group) and connected persons of either such HSBC workers (e.g. family members or other connected persons for AML/sanctions compliance) or of corporate clients, trading counterparties and third-party service providers to the HSBC Group (such as officers, directors, employees, contractors, secondees, interns and agents, or investors, guarantors or other controlling persons, of such corporate entities). In these circumstances, in our view, HBEU can provide the SEC with prompt access to the Covered Books and Records and submit to onsite inspection and examination in compliance with UK Data Protection Laws.

2.5 This is on the basis that, in our opinion, there is both a lawful basis for, and a mechanism to legitimise, the transfer of Relevant Data to the SEC outside of the UK (where applicable) under UK Data Protection Law, as further described below.

a) Lawful Bases

i. Article 6(1)(f) of the UK GDPR (i.e. that the processing is necessary for the purpose of the legitimate interests pursued by HBEU and / or the SEC as recipient of the data) can be relied upon as a lawful basis for the transfer of the Relevant Data to, or access of it by, the SEC.

ii. Criminal Conviction Data: HBEU will also be able to rely on Paragraph 12 of Schedule 1 to the DPA 2018 as its lawful basis for the transfer of the Criminal Conviction Data to, or access of it, by the SEC.

iii. Special Category Personal Data: Assuming that the SEC requests any Relevant Data only for the purposes of fulfilling its regulatory powers, for its transfer of the Special Category Personal Data HBEU will also be able to rely on:

- Article 9(2) of the UK GDPR as the legal basis; together with
- paragraph 12 of Schedule 1 of the DPA 2018 as the basis for it having a “substantial public interest” based on domestic (i.e. UK) law.

b) Legitimising the transfer of personal data from within the UK to the United States

As noted by the SEC in its statement on 19 January 20213, the Information Commissioner’s Office (ICO) has provided clarity regarding the transfers of personal data from the UK to the SEC. In summary, the ICO’s letter (the “ICO Letter”)4 concluded that the UK GDPR does not impose legal barriers to the transfer of personal data directly to the SEC for regulatory or enforcement purposes from UK-based firms or branches that are registered, required to be registered or otherwise regulated by the SEC, including SBSDs. The ICO Letter explains how UK firms with regulatory obligations to the SEC can rely on the “public interest” derogation of the UK GDPR when directly transferring personal data to the SEC set out in Article 49(1)(d) - i.e. that the transfer is necessary for important reasons of public interest.

3 See the public statement from the Acting Chairman of the SEC, Elad L. Roisman, on the 19 January 2021, here: https://www.sec.gov/news/public-statement/roisman-uk-ico-personal-data-transfers-data-sec

4 See the letter published by the ICO setting out the ICO’s analysis on SEC transfer, dated 11 September 2020, here: https://ico.org.uk/media/2619110/sec-letter-20200911.pdf

3
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L_LIVE_EMEA1:45921626v1

Since HBEU is a UK domiciled firm and is progressing its application with the SEC with a view to becoming registered with the SEC as a SBSD, it will clearly be in-scope of the ICO Letter.

### **Duty of Confidentiality**

2.6 We understand that the relationship between HBEU and each SBS counterparty will be subject to contractual terms that establish a general duty of confidentiality but then provide a limited number of exceptions/waiver of confidentiality to allow HBEU to disclose any relevant information for the purpose of meeting its compliance obligations in any applicable jurisdiction, including to the SEC in the US (“Confidentiality Provisions”). As a result, despite its general duty of confidentiality, HBEU will be able to provide all relevant information contained in the Covered Books and Records to the SEC as required under the applicable U.S. laws in compliance with these Confidentiality Provisions.

### **Regulatory communications**

2.7 We understand it is unlikely the Covered Books and Records would include any communications between HBEU and its UK regulators.

2.8 Nevertheless, to the extent any Covered Books and Records could include communications with, or documents prepared for, HBEU’s UK regulators, such as the FCA or PRA, the consent to such disclosure of the relevant UK authority should ordinarily be obtained. However, given that the FCA and the PRA have entered into a Memorandum of Understanding with the SEC which expressly refers to the provision of information and on-site visits in the context of being registered as a SBSD5, we would expect that this consent would readily be given.

5 See FCA, PRA and SEC, Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision and Oversight of Certain Cross-Border Over-the-Counter Derivatives Entities In Connection with the Use of Substituted Compliance by Such Entities (30 July 2021), available at: https://www.sec.gov/page/exchange-act-substituted-compliance-and-listed-jurisdiction-applications-security-based-swap.

4
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L_LIVE_EMEA1:45921626v1

**Attachment 3:** `Combined7R.pdf`

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

## Entity Profile Information

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

### Current Status Information

| Branch ID | Status | Effective Date |
| --- | --- | --- |
|  | NFA MEMBER APPROVED | 05/02/2013 |
|  | SWAP DEALER PROVISIONALLY REGISTERED | 12/31/2012 |
|  | EXEMPT FOREIGN FIRM APPROVED | 07/17/1989 |

### Status History Information

| Status | Effective Date |
| --- | --- |
| NFA MEMBER APPROVED | 05/02/2013 |
| SWAP DEALER PROVISIONALLY REGISTERED | 12/31/2012 |
| SWAP DEALER PENDING | 12/19/2012 |
| NFA MEMBER PENDING | 12/19/2012 |
| EXEMPT FOREIGN FIRM APPROVED | 07/17/1989 |

### Outstanding Requirements

Annual Due Date: 6/1/2023

4S SUBMISSIONS IN REVIEW

### Disciplined Employee Summary

### Exempt Foreign Firm Information

Page 1 of 2

| NFA ID | Agent Name | Start Date | End Date |
| --- | --- | --- | --- |
| 0002170 | HSBC SECURITIES USA INC | 7/16/2013 |  |
| 0234336 | SAMUEL MONTAGU INC | 1/1/1991 | 12/8/1995 |

| NFA ID | Regulator Name | Start Date | End Date |
| --- | --- | --- | --- |
| 0316743 | FINANCIAL CONDUCT AUTHORITY | 7/17/1989 |  |

| NFA ID | Doing Business With | Start Date | End Date |
| --- | --- | --- | --- |
| 0527468 | DE RIVA ASIA LIMITED | 2/24/2020 | 3/10/2020 |
| 0303496 | SOCIETE GENERALE | 7/20/2011 |  |
| 0411526 | MAKO FINANCIAL MARKETS PARTNERSHIP LLP | 9/10/2009 |  |

| Exemption Category | Exemption Type | Statement Date |
| --- | --- | --- |
| FUTURES COMMISSION MERCHANT | 30.10 | 6/30/1997 |

---

Page 2 of 2

![img-1.jpeg](img-1.jpeg)

## Business Information

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

| Name | HSBC BANK PLC |
| --- | --- |
| Form of Organization | CORPORATION |
| Country | UNITED KINGDOM |

| Federal EIN | 365684514 |
| --- | --- |

### Business Address

| Street Address 1 | HSBC BANK PLC |
| --- | --- |
| Street Address 2 | 8 CANADA SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 5HQ |
| Country | UNITED KINGDOM |

| Phone Number | + 44 (0) 207 9916302 |
| --- | --- |
| Fax Number | N/A |

| Email | Not provided |
| --- | --- |

| Website/URL | HTTP://WWW.HSBCNET.COM/ |
| --- | --- |

| CRD/IARD ID | Not provided |
| --- | --- |
|  | CORPORATION |
|  | F |

---

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

Page 1 of 1

![img-2.jpeg](img-2.jpeg)

## Exempt Foreign Firm Contact Information

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

### Exempt Foreign Firm Contact Address

| First Name | LINDA |
| --- | --- |
| Last Name | GLOVER |
| Title | MANAGER GLOBAL CLEARING SERVICES |
| Street Address 1 | 8 CANADA SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 5HQ |
| Country | UNITED KINGDOM |
| Phone | 44-207-991-5760 |
| Fax | 44-207 992-4963 |
| Email | LINDA.J.GLOVER@HSBCGROUP.COM |

---

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

Page 1 of 1

![img-3.jpeg](img-3.jpeg)

## Other Names

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

**HSBC FUTURES DIV OF MIDLAND BANK PLC**

**ALIAS**

**MIDLAND MONTAGU FUTURES**

**ALIAS**

---

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

Page 1 of 1

![img-4.jpeg](img-4.jpeg)

## Location of Business Records

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

| Street Address 1 | HSBC BANK PLC |
| --- | --- |
| Street Address 2 | 8 CANADA SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 5HQ |
| Country | UNITED KINGDOM |

---

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

Page 1 of 1

![img-5.jpeg](img-5.jpeg)

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

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

**Office of NFA located in New York, NY**

---

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

Page 1 of 1

![img-6.jpeg](img-6.jpeg)

## Principal Information

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

### Individual Information

| NFA ID | 0471399 |
| --- | --- |
| Name | BELL, COLIN |
| Title(s) | DIRECTOR CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 06-10-2021 |

| NFA ID | 0552449 |
| --- | --- |
| Name | CHUNG, HAIDEE HOILIM |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-02-2022 |

| NFA ID | 0551704 |
| --- | --- |
| Name | CLACKSON, PATRICK ANDREW |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 10-17-2022 |

| NFA ID | 0544124 |
| --- | --- |
| Name | DOVE EDWIN, NORMA ADRIENNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-14-2022 |

| NFA ID | 0537214 |
| --- | --- |
| Name | ELLIS, JULIET ANN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |

---

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

Page 1 of 3

Viewed on February 01, 2023  
NFA ID 0209445 HSBC BANK PLC---

| Effective Date | 06-02-2021 |
| --- | --- |
| NFA ID | 0519151 |
| Name | GUYETT, GREGORY LAURENCE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-14-2019 |
| NFA ID | 0533655 |
| Name | KWONG, TERECINA HOK YUEN |
| Title(s) | CHIEF OPERATING OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 01-06-2021 |
| NFA ID | 0263457 |
| Name | OCONNOR, STEPHEN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-01-2018 |
| NFA ID | 0514845 |
| Name | OMURA, YUKIKO |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-05-2018 |
| NFA ID | 0541826 |
| Name | SALMON, CHRISTOPHER KEITH |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 12-22-2021 |
| NFA ID | 0514848 |
| Name | STRUTZ, ERIC WOLFGANG |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |

---

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

Page 2 of 3

Viewed on February 01, 2023  
NFA ID 0209445 HSBC BANK PLC---

| Status | APPROVED |
| --- | --- |
| Effective Date | 09-05-2018 |

| NFA ID | 0350623 |
| --- | --- |
| Name | WATTS, DAVID MICHAEL |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-23-2022 |

| NFA ID | 0485862 |
| --- | --- |
| Name | WEISS, MICHAEL CARL |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-03-2021 |

| NFA ID | 0514853 |
| --- | --- |
| Name | WRIGHT, ANDREW MERLAY |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-06-2018 |

#### **Holding Company Information**

| NFA ID | 0453422 |
| --- | --- |
| Full Name | HSBC HOLDINGS PLC |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 12-29-2012 |

---

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

Page 3 of 3

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

## Non-U.S. Regulator Information

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

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

| Country | Regulator Name |
| --- | --- |
| UNITED KINGDOM | PRUDENTIAL REGULATORY AUTHORITY |
| UNITED KINGDOM | FINANCIAL CONDUCT AUTHORITY |
| FRANCE | AUTORITE DE CONTROLE PRUDENTIEL ET DE RESOLUTIUON |
| GERMANY | BUNDESANSTALT FÜR FINANZDIENSTLEISTUNGSAUFSICHT |
| ITALY | BANK OF ITALY |
| SPAIN | BANK OF SPAIN |
| PORTUGAL | BANCO DE PORTUGAL |
| GREECE | BANK OF GREECE |
| ISRAEL | BANK OF ISRAEL |
| SLOVENIA | BANK OF SLOVENIA |
| FRANCE | BANQUE DE FRANCE |
| BELGIUM | NATIONAL BANK OF BELGIUM |
| CYPRUS | CENTRAL BANK OF CYPRUS |
| LUXEMBOURG | COMMISSION DE SURVEILLANCE DU SECTEUR FINANCIER |
| ITALY | COMMISSIONE NAZIONALE PER LE SOCIETÀ E LA BORSA |
| CZECH REPUBLIC | CZECH NATIONAL BANK |
| AUSTRIA | FINANCIAL MARKET AUTHORITY |
| HUNGARY | MAGYAR NEMZETI BANK (THE CENTRAL BANK OF HUNGARY) |
| LITHUANIA | BANK OF LITHUANIA |
| JERSEY ISLAND | JERSEY FINANCIAL SERVICES COMMISSION |
| ISLE OF MAN | ISLE OF MAN FINANCIAL SERVICES AUTHORITY |
| HONG KONG | HONG KONG MONETARY AUTHORITY |
| GUERNSEY | GUERNSEY FINANCIAL SERVICES COMMISSION |

---

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

Page 1 of 2

Viewed on February 01, 2023
NFA ID 0209445 HSBC BANK PLC

| ICELAND | THE CENTRAL BANK OF ICELAND |
| --- | --- |
| LIECHTENSTEIN | FINANCIAL MARKET AUTHORITY |
| SOUTH AFRICA | FINANCIAL SECTOR CONDUCT AUTHORITY |
| FINLAND | FINANCIAL SUPERVISION AUTHORITY |
| NORWAY | FINANCIAL SUPERVISORY AUTHORITY OF NORWAY |
| DENMARK | DANISH FINANCIAL SUPERVISORY AUTHORITY |
| ESTONIA | FINANCIAL SUPERVISION AUTHORITY |
| LATVIA | FINANCIAL AND CAPITAL MARKET COMMISSION |

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

Page 2 of 2

![img-1.jpeg](img-1.jpeg)

## Agent Information

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

### Current Agent

| Agent ID | Agent Name | Start Date |
| --- | --- | --- |
| 0002170 | HSBC SECURITIES USA INC | 7/16/2013 |

### Agent History

| Agent ID | Agent Name | Start Date | End Date |
| --- | --- | --- | --- |
| 0234336 | SAMUEL MONTAGU INC | 1/1/1991 | 12/8/1995 |

---

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

Page 1 of 1

![img-2.jpeg](img-2.jpeg)

## Doing Business With

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

### Doing Business With - Current

| NFA ID | Name | Start Date |
| --- | --- | --- |
| No Information Available |  |  |

### Doing Business With - History

| NFA ID | Name | Start Date | End Date |
| --- | --- | --- | --- |
| No Information Available |  |  |  |

---

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

Page 1 of 1

NFA

# Disciplinary Information - Criminal Disclosures

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

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) & 3038-0072 (exp. September 30, 2023)

Page 1 of 2

Viewed on February 01, 2023
NFA ID 0209445 HSBC BANK PLC

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) & 3038-0072 (exp. September 30, 2023)

Page 2 of 2

![img-3.jpeg](img-3.jpeg)

# Disciplinary Information - Regulatory Disclosures

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

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) & 3038-0072 (exp. September 30, 2023)

Page 1 of 3

Viewed on February 01, 2023
NFA ID 0209445 HSBC BANK PLC

Question D

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has a court ever permanently or temporarily enjoined the firm after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:

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

No

Question E

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

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

Yes

Question F

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

No

Question G

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

No

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

Page 2 of 3

Viewed on February 01, 2023
NFA ID 0209445 HSBC BANK PLC

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) & 3038-0072 (exp. September 30, 2023)

Page 3 of 3

![img-4.jpeg](img-4.jpeg)

# Disciplinary Information - Financial Disclosures

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

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?

**Yes**

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

Page 1 of 1

Online Registration System

Disciplinary Information - Criminal Disclosure Matter Summary

NFA ID

0209445

HSBC BANK PLC

To add a Disclosure Matter Page (DMP), click the Add DMP button. To view or update a current DMP, click the link in the Date DMP Filed column. To delete an "In Process" DMP, click the Delete button in the Action column.

To view the historical versions of DMPs, click the link in the Prior Filing(s) column if applicable.

For additional assistance, contact NFA at (800) 621-3570 or (312) 781-1410. You may also send an email to registration@nfa.futures.org.

+ Add DMP

Current Criminal Disclosure Matter Summary (2 DMPs)

Show

100

notes

Search

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Status | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
|  | 14261 | 02/29/2018 | U.S. V HSBC HOLDINGS PLC, CASE NO. 1:16-CR-00591-LBH (EDNY 2018) |  |  |  |  |
|  | 14278 | 09/05/2017 | REFERRED PROSECUTION AGREEMENT AND RELATED SETTLEMENT AGREEMENTS INVOLVING HSBC HOLDINGS PLC. 12/02 |  |  |  |  |

Archived Criminal Disclosure Matter Summary

There are currently no archival DMPs.

Online Registration System

Disciplinary Information - Regulatory Disclosure Matter Summary

NFA ID

0209445

HSBC BANK PLC

To add a Disclosure Matter Page (DMP), click the Add DMP button. To view or update a current DMP, click the link in the Date DMP Filed column. To delete an "In Process" DMP, click the Delete button in the Action column

To view the historical versions of DMPs, click the link in the Prior Filing(s) column if applicable.

For additional assistance, contact NFA at (800) 621-3570 or (312) 781-1410. You may also send an email to registration@nfa.futures.org.

+ Add DMP

Current Regulatory Disclosure Matter Summary (24 DMPs)

Show 100

Search

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Status | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 0 | 17963 | 12/17/2021 | EUROPEAN COMMISSION AT 40131 | FINAL | 12/2021 |  |  |
|  | 14275 | 18/17/2017 | FEDERAL RESERVE BOARD CEASE AND DEDEST ORDER, OCT 2017 |  |  |  |  |
|  | 14260 | 09/05/2017 | SOUTH AFRICA COMPETITION: TRIBUNAL, CC CASE NO. 2015APR04-07 |  |  |  |  |
|  | 14261 | 09/05/2017 | BRAZIL CADE ADMINISTRATIVE PROCEEDING 00701/04/03/2015.04 |  |  |  |  |
|  | 14276 | 05/17/2017 | EURIBOR EC INFRINGEMENT DECISION 7 DECEMBER 2016 |  |  |  |  |
|  | 14258 | 12/24/2014 | NOVEMBER 2014, FCA FINAL NOTICE 114216 |  |  |  |  |
|  | 14262 | 06/06/2014 | HUNGARIAN FINANCIAL SERVICES AUTHORITY - APRIL 2011 |  |  |  |  |
|  | 14259 | 06/06/2014 | HELLENIC DATA PROTECTION AUTHORITY 2013 |  |  |  |  |
|  | 14274 | 06/06/2014 | HMRC FINE |  |  |  |  |
|  | 14277 | 05/23/2014 | EURIBOR EC STATEMENT OF OBJECTIONS 20 MAY 2014 |  |  |  |  |
|  | 14279 | 05/29/2013 | 2002 SPANISH MONEY LAUNDERING AUTHORITY |  |  |  |  |
|  | 14280 | 01/14/2013 | ASSUMPTION IN FORM COMPLETION |  |  |  |  |
|  | 14275 | 12/19/2012 | ASSUMPTIONS |  |  |  |  |
|  | 14270 | 12/19/2012 | BANK OF GREECE SANCTIONS |  |  |  |  |
|  | 14269 | 12/19/2012 | HUNGARIAN FSA (HFSA) REGULATORY FINE |  |  |  |  |
|  | 14272 | 12/19/2012 | NHFA LIMITED - SALES OF LONG TERM PRODUCTS TO THE ELDERLY |  |  |  |  |
|  | 14263 | 12/19/2012 | OMIS HELISNKI AND OSLO BORS TRADE REPORTING |  |  |  |  |

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Status | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
|  | 14264 | 12/19/2012 | REGULATOR INVESTIGATIONS INTO THE SETTING OF LONDON INTER BANK OFFERED RATES AND EUROPEAN INTER BANK |  |  |  |  |
|  | 14271 | 12/19/2012 | SPANISH MONEY LAUNDERING AUTHORITY (SEPBLAC) SANCTION FOR MONEY LAUNDERING BREACHES |  |  |  |  |
|  | 14266 | 12/19/2012 | UK AUTHORITY INVESTIGATIONS INTO PAYMENT PROTECTION INSURANCE (PPI) |  |  |  |  |
|  | 14267 | 12/19/2012 | UK FSA CONSULTATION ON ARCH CRU REDREES SCHEME |  |  |  |  |
|  | 14268 | 12/19/2012 | UK FSA INVESTIGATIONS INTO INTEREST RATE DERIVATIVE SALES |  |  |  |  |
|  | 14265 | 12/19/2012 | UK FSA TRANSACTION REPORTING |  |  |  |  |
|  | 14293 | 12/19/2012 | VIRUX TRADE AND TRANSACTION REPORTING |  |  |  |  |

i Archived Regulatory Disclosure Matter Summary (1 DMP)

Online Registration System

Disciplinary Information - Financial Disclosure Matter Summary

NFA ID

0209445

HSBC BANK PLC

To add a Disclosure Matter Page (DMP), click the Add DMP button. To view or update a current DMP, click the link in the Date DMP Filed column. To delete an "In Process" DMP, click the Delete button in the Action column.

To view the historical versions of DMPs, click the link in the Prior Filing(s) column if applicable.

For additional assistance, contact NFA at (800) 621-3570 or (312) 741-1410. You may also send an email to registration@nfa.futures.org.

Current Financial Disclosure Matter Summary (1 DMP)

Show

100

mates

Search

| Question(s) | DMP Number | Date DMP Filed | Matter Name | Case Status | Date | Prior Filing(s) | Action |
| --- | --- | --- | --- | --- | --- | --- | --- |
|  | 14262 | 09/06/2017 | MADORY BANKRUPTCY TRUSTEE ACTION |  |  |  |  |

Archived Financial Disclosure Matter Summary

There are currently no archival DMPs.

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

## Registration Contact Information

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

| First Name | MICHAEL |
| --- | --- |
| Last Name | WEISS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | THIRD FLOOR, 8 CANADA SQUARE |
| Street Address 2 | CANARY WHARF |
| City | LONDON |
| Zip/Postal Code | E145HQ |
| Country | UNITED KINGDOM |
| Phone | + 44 207 9914153 |
| Email | MICHAEL.C.WEISS@HSBC.COM |

---

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

Page 1 of 1

![img-1.jpeg](img-1.jpeg)

## Enforcement/Compliance Communication Contact Information

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

| First Name | MARK |
| --- | --- |
| Last Name | FRITH |
| Title | SVP SWAP DEALER COMPLIANCE |
| Street Address 1 | 8 CANADA SQUARE |
| Street Address 2 | 3RD FLOOR |
| City | LONDON |
| Zip/Postal Code | E14 5HQ |
| Country | UNITED KINGDOM |
| Phone | 0044 7996 704 226 |
| Email | MARK.FRITH@HSBCIB.COM |

| First Name | MICHAEL |
| --- | --- |
| Last Name | WEISS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | THIRD FLOOR, 8 CANADA SQUARE |
| Street Address 2 | CANARY WHARF |
| City | LONDON |
| Zip/Postal Code | E145HQ |
| Country | UNITED KINGDOM |
| Phone | 0044 207 9914153 |
| Email | MICHAEL.C.WEISS@HSBC.COM |

---

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

Page 1 of 1

![img-2.jpeg](img-2.jpeg)

## Membership Information

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

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? **Yes**

**THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM**

---

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

Page 1 of 1

![img-3.jpeg](img-3.jpeg)

## Membership Contact Information

Viewed on February 01, 2023

NFA ID 0209445 HSBC BANK PLC

### Membership Contact

| First Name | MARK |
| --- | --- |
| Last Name | FRITH |
| Title | SVP SWAP DEALER COMPLIANCE |
| Street Address 1 | 8 CANADA SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 5HQ |
| Country | UNITED KINGDOM |
| Phone | 0044 7996 704 226 |
| Email | MARK.FRITH@HSBCIB.COM |

### Accounting Contact

| First Name | DAVID |
| --- | --- |
| Last Name | GRIMSHAW |
| Title | REGIONAL COO |
| Street Address 1 | 8 CANADA SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 5HQ |
| Country | UNITED KINGDOM |
| Phone | 0044 207 991 5626 |
| Email | DAVID.GRIMSHAW@HSBC.COM |

---

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

Page 1 of 3

Viewed on February 01, 2023
NFA ID 0209445 HSBC BANK PLC

# **Arbitration Contact**

| First Name | MICHAEL |
| --- | --- |
| Last Name | WEISS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | THIRD FLOOR, 8 CANADA SQUARE |
| Street Address 2 | CANARY WHARF |
| City | LONDON |
| Zip/Postal Code | E14 5HQ |
| Country | UNITED KINGDOM |
| Phone | + 44 207 9914153 |
| Email | MICHAEL.C.WEISS@HSBC.COM |

# **Compliance Contact**

| First Name | MARK |
| --- | --- |
| Last Name | FRITH |
| Title | SVP SWAP DEALER COMPLIANCE |
| Street Address 1 | 8 CANADA SQUARE |
| Street Address 2 | 3RD FLOOR |
| City | LONDON |
| Zip/Postal Code | E14 5HQ |
| Country | UNITED KINGDOM |
| Phone | +44 7996 704 226 |
| Email | MARK.FRITH@HSBCIB.COM |

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

Page 2 of 3

Viewed on February 01, 2023  
NFA ID 0209445 HSBC BANK PLC---

# **Chief Compliance Officer Contact**

| First Name | MICHAEL |
| --- | --- |
| Last Name | WEISS |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | THIRD FLOOR, 8 CANADA SQUARE |
| Street Address 2 | CANARY WHARF |
| City | LONDON |
| Zip/Postal Code | E14 5HQ |
| Country | UNITED KINGDOM |
| Phone | + 44 207 9914153 |
| Email | MICHAEL.C.WEISS@HSBC.COM |

---

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

Page 3 of 3

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

# Online Registration System

NFA Home | BASIC | Log off user frithm

Return to Dashboard

Apply for Registration | Update/Withdraw Registration Information | Report Center

Search for an NFA ID | View Registration Information | Security

Payment Request/Accounting Information | ORS News | Help

Search

- For an Individual
- For a Firm, Holding Company or Sole Proprietor
- For a Pool
- By Social Security Number

Disciplinary Information

- Disclosure Information
- List of Disciplinary Information Disclosure Questions

Firm Profile

- Branch Office Manager List
- Swap Associated Person List
- Employee List (by office)
- Guarantee Agreement Information
- Exempt Foreign Firm Information
- Part 4 Exemptions

Internal Processing

- View Registration Information
- Outstanding Requirements
- Application Withdrawal Date
- TL's Due to Withdraw
- Notices

Registration and Membership

- Current Registration Status
- Registration History

Hardcopies

- Filing History

# Branch Office Manager List

NFA ID

0209445

Enter

HSBC BANK PLC

No information available.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2023 National Futures Association

![img-1.jpeg](img-1.jpeg)

# Online Registration System

NFA Home | BASIC | Log off user frithm

Return to Dashboard

Apply for Registration | Update/Withdraw Registration Information | Report Center

Search for an NFA ID | View Registration Information | Security

Payment Request/Accounting Information | ORS News | Help

Search

- For an Individual
- For a Firm, Holding Company or Sole Proprietor
- For a Pool
- By Social Security Number

# Filing History

NFA ID

0209445

HSBC BANK PLC

Sponsor ID

Enter

Disciplinary Information

- Disclosure Information
- List of Disciplinary Information Disclosure Questions

Filter By:
Form Message

Firm Profile

- Branch Office Manager List
- Swap Associated Person List
- Employee List (by office)
- Guarantee Agreement Information
- Exempt Foreign Firm Information
- Part 4 Exemptions

Internal Processing

- View Registration Information
- Outstanding Requirements
- Application Withdrawal Date
- TL's Due to Withdraw
- Notices

Registration and Membership

- Current Registration Status
- Registration History

Hardcopies

- Filing History

Process Date

Sponsor NFA ID

Form Message

User Name

06/06/2022

FIRM DISCIPLINARY INFORMATION FILED

FRITHM

04/08/2022

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

FRITHM

04/08/2022

BUSINESS LOCATIONS CHANGED

FRITHM

03/03/2022

BUSINESS LOCATIONS CHANGED

FRITHM

01/07/2022

FIRM REGULATORY DMP ADDED - 18000

FRITHM

12/17/2021

FIRM REGULATORY DMP ADDED - 17963

FRITHM

10/29/2021

BUSINESS LOCATIONS CHANGED

FRITHM

09/29/2021

HOLDING COMPANY DELETED FOR ID 0517294

FRITHM

04/01/2020

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

PEDREIRABETHENCM1

04/01/2020

BUSINESS LOCATIONS CHANGED

PEDREIRABETHENCM1

01/23/2020

BUSINESS LOCATIONS CHANGED

PEDREIRABETHENCM1

08/23/2019

U.S. REGULATOR INFORMATION ADDED

PEDREIRABETHENCM1

08/23/2019

NON-U.S. REGULATOR INFORMATION UPDATED

PEDREIRABETHENCM1

08/12/2019

NON-U.S. REGULATOR INFORMATION UPDATED

PEDREIRABETHENCM1

08/12/2019

NON-U.S. REGULATOR INFORMATION UPDATED

PEDREIRABETHENCM1

08/12/2019

NON-U.S. REGULATOR INFORMATION UPDATED

PEDREIRABETHENCM1

08/12/2019

NON-U.S. REGULATOR

PEDREIRABETHENCM1

|  | INFORMATION UPDATED |  |
| --- | --- | --- |
| 08/12/2019 | NON-U.S. REGULATOR INFORMATION UPDATED | PEDREIRABETHENCM1 |
| 08/12/2019 | NON-U.S. REGULATOR INFORMATION UPDATED | PEDREIRABETHENCM1 |
| 08/12/2019 | NON-U.S. REGULATOR INFORMATION UPDATED | PEDREIRABETHENCM1 |
| 08/12/2019 | NON-U.S. REGULATOR INFORMATION UPDATED | PEDREIRABETHENCM1 |
| 08/12/2019 | NON-U.S. REGULATOR INFORMATION UPDATED | PEDREIRABETHENCM1 |
| 08/12/2019 | NON-U.S. REGULATOR INFORMATION UPDATED | PEDREIRABETHENCM1 |
| 10/18/2018 | HOLDING COMPANY INFORMATION FILED | LOPICICHR1 |
| 02/20/2018 | FIRM CRIMINAL MATTER INFORMATION FILED | LOPICICHR1 |
| 10/17/2017 | FIRM REGULATORY MATTER INFORMATION FILED | LOPICICHR1 |
| 09/06/2017 | FIRM FINANCIAL MATTER INFORMATION FILED | LOPICICHR1 |
| 09/05/2017 | FIRM FINANCIAL SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED NO | LOPICICHR1 |
| 09/05/2017 | FIRM FINANCIAL DISCLOSURE QUESTION 1 CHANGED | LOPICICHR1 |
| 09/05/2017 | FIRM REGULATORY MATTER INFORMATION FILED | LOPICICHR1 |
| 09/05/2017 | FIRM REGULATORY MATTER INFORMATION FILED | LOPICICHR1 |
| 09/05/2017 | FIRM CRIMINAL MATTER INFORMATION FILED | LOPICICHR1 |
| 06/21/2017 | BUSINESS LOCATIONS CHANGED | LOPICICHR1 |
| 05/17/2017 | FIRM REGULATORY MATTER INFORMATION FILED | LOPICICHR1 |
| 05/17/2017 | FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED NO | LOPICICHR1 |
| 05/17/2017 | FIRM REGULATORY DISCLOSURE QUESTION E CHANGED | LOPICICHR1 |
| 05/16/2017 | FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES | LOPICICHR1 |
| 04/18/2017 | BUSINESS LOCATIONS CHANGED | DONNELLYD1 |
| 01/20/2017 | BUSINESS LOCATIONS CHANGED | KIME1 |
| 01/05/2017 | BUSINESS LOCATIONS CHANGED | DONNELLYD1 |
| 01/05/2017 | ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED | DONNELLYD1 |
| 04/19/2016 | BUSINESS LOCATIONS CHANGED | DONNELLYD1 |
| 03/10/2016 | BUSINESS LOCATIONS CHANGED | KIME1 |

| 01/15/2016 | BUSINESS LOCATIONS CHANGED | DONNELLYD1 |
| --- | --- | --- |
| 01/15/2016 | ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED | DONNELLYD1 |
| 05/14/2015 | BUSINESS LOCATIONS CHANGED | DYC |
| 12/24/2014 | FIRM REGULATORY MATTER INFORMATION FILED | BALLISATE |
| 06/06/2014 | FIRM REGULATORY MATTER INFORMATION FILED | BALLISATE |
| 06/06/2014 | FIRM REGULATORY MATTER INFORMATION FILED | BALLISATE |
| 06/06/2014 | FIRM REGULATORY MATTER INFORMATION FILED | BALLISATE |
| 05/23/2014 | FIRM REGULATORY MATTER INFORMATION FILED | BALLISATE |
| 05/01/2014 | BUSINESS LOCATIONS CHANGED | VASENDENA1 |
| 04/25/2014 | BUSINESS LOCATIONS CHANGED | VASENDENA1 |
| 01/28/2014 | BUSINESS LOCATIONS CHANGED | VASENDENA1 |
| 01/24/2014 | BUSINESS LOCATIONS CHANGED | VASENDENA1 |
| 05/29/2013 | FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES | VASENDENA1 |
| 05/29/2013 | FIRM REGULATORY MATTER INFORMATION FILED | VASENDENA1 |
| 05/13/2013 | FIRM REGULATORY DISCLOSURE QUESTION I CHANGED | NFRGCZJ |
| 01/14/2013 | FIRM REGULATORY MATTER INFORMATION FILED | BALLISATE |
| 01/14/2013 | FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED DOES NOT APPLY | BALLISATE |
| 01/14/2013 | FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED DOES NOT APPLY | BALLISATE |
| 01/14/2013 | FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED DOES NOT APPLY | BALLISATE |
| 12/19/2012 | FIRM APPLICATION FILED | NGAITHEJ |
| 09/19/2006 | BUSINESS LOCATIONS CHANGED | NFICCDM |
| 09/19/2006 | BUSINESS LOCATIONS CHANGED | NFICCDM |
| 09/09/2004 | BUSINESS LOCATIONS CHANGED | NFRGYXC |

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2023 National Futures Association

**Attachment 4:** `Amendments.pdf`

HSBC Bank plc
Form SBSE-A/A As
at February 1st, 2023

In connection with the Form SBSE-A/A for HSBC Bank plc ("HBEU"), the following changes have been made:

**February 1st, 2023**

1) Updated to remove the Principals: Georges Elhedery and John Trueman.

**November 2nd, 2022**

1) Updated to include the addition of new Principals: Patrick Andrew Clackson and Haidee Hoilim Chung.

2) Updated to remove the Principal Artur Jerzy Guja.

**April 8th, 2022**

1) Filing of a consolidated Form 7R.

**January 7th, 2022**

1) Updated to include the addition of new Principals: Norma Dove Edwin and David Watts.

2) Inclusion of the following Regulatory Disclosures:

**EUROPEAN COMMISSION ANTITRUST CASE 40135**

The European Commission announced on 2 December 2021 the resolution of a cartel investigation into historical conduct in the Foreign Exchange spot trading market. It found five financial institutions to have infringed EU competition law, including HSBC (HSBC Bank plc and, as parentally liable, HSBC Holdings plc). HSBC was named in the settlement decision and will pay a fine because of the involvement of a former trader in a single online professional chatroom from May 2011 to June 2012. The Commission's investigation focused on the trading of the G10 currencies. The Commission's investigation revealed that traders acting on behalf of the banks exchanged sensitive information and trading plans, and occasionally coordinated their trading strategies through the online professional chatroom. HSBC cooperated with the investigation.

On December 17, 2021, the UK Financial Conduct Authority (FCA) issued its decision (Decision Notice) to impose a civil monetary penalty in the amount of GBP 63,946,800 against HSBC Bank PLC (HBEU) for historical breaches of the UK Money Laundering Regulations 2007. HBEU is the only subject of the FCA's Decision Notice.

**DECISION NOTICE RE FIRM 114216 DATED 17 NOVEMBER 2021**

The FCA found that for the period March 2010 through March 2018, HBEU's transaction monitoring controls did not comply with certain provisions of the UK Money Laundering Regulations 2007 (Sections 20(1)(a) and 20(1)(f)). Specifically, the FCA found that HBEU's policies and procedures for two of its key automated transaction monitoring systems were not appropriate or sufficiently risk sensitive and that HBEU did not ensure the policies that managed

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and monitored those systems were adequately followed. The FCA criticised three components of HBEU's UK automated transaction monitoring systems, namely: scenario coverage, parameters and data. The FCA found that these deficiencies meant that HBEU did not have an adequately effective automated transaction monitoring system in the UK. The FCA's Decision Notice recognised HSBC's large-scale remediation programme, which began in 2012 and included, among other things, certain successful enhancements in relation to data integrity and the segmentation of customers as well as more recently, significant investments in market-leading technologies for the next generation of automated transaction monitoring.

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

### Applicant Information

**Full Applicant Name:** HSBC BANK PLC

**NFA Number:** 209445

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

**CIK:** 0001140465

**UIC:** MP6I5ZYZBEU3UXPYFY54

**Main Address:** 8 CANADA SQUARE, LEVEL 3, LONDON, X0, E14 5HQ

**Business Telephone:** 00447796704226

**Contact Employee:**

- **Name:** Mark Frith

- **Title:** Senior Vice President

- **Phone:** 0044 7996 704 226

- **Email:** mark.frith@hsbcib.com

**Chief Compliance Officer:**

- **Name:** Michael Weiss

- **Title:** EMEA Head MSS Compliance

- **Phone:** 0044 207 991 4153

- **Email:** michael.c.weiss@hsbc.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

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

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board, The Office of the Comptroller of the Currency

**Description of Business:**
The applicant delivers tailored financial solutions to major government, corporate and institutional clients worldwide. We provide a comprehensive suite of services across lending, advisory and capital markets, trade services, research, securities services and global liquidity and cash management. In Security-Based Swap products, this focuses on meeting clients' portfolio and hedging strategies.

### Control and History

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

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

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

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

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

**Subject to foreign regulation?:** Yes

**Number of Principals:** 14

### Schedule A: Principals

| Name                     | Title or Status                               | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Colin Bell               | Director, Chief Executive Officer             | 02/2021         | 01/2016              |  |       471399 |
| Christopher Keith Salmon | Head of a Business Unit, Division or Function | 09/2018         | 08/2021              |  |       541826 |
| Gregory Laurence Guyett  | Head of a Business Unit, Division or Function | 02/2019         | 10/2018              |  |       519151 |
| Terecina Hok Yuen Kwong  | Chief Operating Officer                       | 09/2020         | 02/2018              |  |       533655 |
| Stephen O'Connor         | Director                                      | 05/2018         | 05/2018              |  |       263457 |
| Yukiko Omura             | Director                                      | 05/2018         | 05/2018              |  |       514845 |
| Juliet Ann Ellis         | Director                                      | 02/2021         | 02/2021              |  |       537214 |
| Eric Wolfgang Strutz     | Director                                      | 10/2016         | 10/2016              |  |       514848 |
| Andrew Merlay Wright     | Director                                      | 05/2018         | 05/2018              |  |       514853 |
| Michael Weiss            | Chief Compliance Officer                      | 10/2021         | 09/2018              |  |      4845862 |
| Norma Dove Edwin         | Non-Executive Director                        | 10/2021         | 10/2021              |  |       544124 |
| David Michael Watts      | Chief Financial Officer                       | 12/2021         | 07/1994              | NA - less than 5% |       350623 |
| Patrick Andrew Clackson  | Director                                      | 09/2022         | 09/2022              | NA - less than 5% |       551704 |
| Haidee Hoilim Chung      | Head of Business Unit, Division or Function   | 10/2022         | 11/2005              | NA - less than 5% |       552449 |

### Schedule B: Explanations

**Description:**
The applicant engages in commodities, banking, saving association activities, credit union activities, insurance and real estate; the applicant has home regulatory permissions to conduct such activity from the UK PRA and FCA.

**Records Keeper:**

- **Name:** Bloomberg Finance LP

  - **Address:** 731 Lexington Avenue, New York, NY, 10022

  - **Effective Date:** 11-19-2020

  - **Arrangement:** —

- **Name:** Global Relay Communications Inc

  - **Address:** 220 Cambie Street, Vancouver, Z4, BC V68 2M9

  - **Effective Date:** 08-17-2011

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** HSBC Holdings PLC

  - **Address:** 8 Canada Square, London, X0, E14 5HQ

  - **Effective Date:** 06-21-2021

  - **Arrangement:** —

### Execution

**Date:** 02-01-2023

**Name of Applicant:** HSBC BANK PLC

**Signature:** Mark Frith

**Printed Name:** Mark Frith

**Title:** SVP