# EDGAR Filing Document

**Accession Number:** 0001803522
**File Stem:** 0001803522-23-000002
**Filing Date:** 2023-1
**Character Count:** 143738
**Document Hash:** c948623986310393c9b5e2ca6c36dfee
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001803522-23-000002.hdr.sgml**: 20230126

**ACCESSION NUMBER**: 0001803522-23-000002

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

**PUBLIC DOCUMENT COUNT**: 8

**FILED AS OF DATE**: 20230126

**DATE AS OF CHANGE**: 20230126

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BofA Securities Europe SA
- **CENTRAL INDEX KEY:** 0001803522
- **IRS NUMBER:** 981453372
- **STATE OF INCORPORATION:** I0

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00130
- **FILM NUMBER:** 23557412

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

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

### Attached PDF Documents

**Attachment 1:** `BofASE7RforAmd7.pdf`

# BofA Securities Europe SA

Form SBSE-A

Supplemental Filing Attachment:

**7R Filing as of January 23, 2023**

# 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,

# National Futures Association

Firm Application (7R) Filed February 13, 2019

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OMB Numbers 3038-0023 and 3038-0072

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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

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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

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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

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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

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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

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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

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

Page 9

# 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

# 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

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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

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0518831 BOFA SECURITIES EUROPE SA

Submitted By WEEMST5 TERRY WEEMS

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"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

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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

FCM 0.6 hours

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

# National Futures Association

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## Registration Categories

NFA MEMBER

SWAP DEALER

## Membership Information

Not applicable.

# National Futures Association

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# 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

# National Futures Association

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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.

# National Futures Association

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## 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

# National Futures Association

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## 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.

# National Futures Association

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## 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:

NO

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

E. In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been found after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

NO

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

F. Has the firm or sole proprietor ever been debarred by any agency of the United States from contracting with the United States?

NO

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

NO

# National Futures Association

Firm Application (7R) Filed 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 & 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 & 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 & 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

# National Futures Association

Firm Application (7R) Filed February 13, 2019

Page 24

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 & 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 & 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

# National Futures Association

Firm Application (7R) Filed February 13, 2019

Page 25

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 & 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

# 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

Page 26

# 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

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,

Page 27

# 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

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

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

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

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

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

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

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

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

Page 28

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

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

Page 1 of 1

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

Page 2 of 2

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

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

Page 3 of 3

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

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

Page 1 of 1

[LOGO]

# 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

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

## Location of Business Records

Viewed on October 21, 2021

NFA ID 0518831 BOFA SECURITIES EUROPE SA

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

---

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 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) & 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---

# Arbitration Contact

| First Name | BURKE |
| --- | --- |
| Last Name | SALLY |
| Title | ASSOC GENERAL COUNSEL & 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 | 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) & 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---

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

Page 3 of 3

[LOGO]

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

Page 1 of 1

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

Page 1 of 1

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

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

Page 1 of 1

# 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) & 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---

| 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) & 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---

| 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)

Page 3 of 3

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

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

Page 1 of 1

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

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

Page 1 of 1

# BofA Securities Europe SA

7R updated Principals as of December 29, 2021

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

Page 1 of 3

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

Page 2 of 3

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

Page 3 of 3

# BofA Securities Europe SA

7R updated Principals as of February 1, 2022

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

Page 1 of 3

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

Page 2 of 3

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

Page 3 of 3

# BofA Securities Europe SA

7R updated Principals as of March 4, 2022

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

Page 1 of 3

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

Page 2 of 3

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

Page 3 of 3

# BofA Securities Europe SA

7R updated Principals as of July 18, 2022

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

Page 1 of 3

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

Page 2 of 3

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

Page 3 of 3

# **BofA Securities Europe SA**

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

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

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

Page 1 of 1

# **BofA Securities Europe SA**

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

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

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

Page 1 of 1

# BofA Securities Europe SA

7R updated Principals as of January 23, 2023

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

Page 2 of 3

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

Page 3 of 3

**Attachment 2:** `BofASEFranceOpinion3.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)

November 1, 2021

# **CLEARY GOTTLIEB STEEN & HAMILTON LLP**
**AVOCATS AU BARREAU DE PARIS**

NEW YORK
WASHINGTON, D.C.
BRUSSELS
LONDON
FRANKFURT
COLOGNE
MOSCOW
ROME
MILAN
HONG KONG
BEIJING
BUENOS AIRES
SÃO PAULO
ABU DHABI
SEOUL

12, rue de Tilsitt
75008 Paris
T: +33 1 40 74 68 00
F: +33 1 40 74 68 88
clearygottlieb.com
Toque J21

ROGER J. BENRUBI
JEAN-PIERRE VIGNAUD
GILLES ENTRAYGUES
FRANÇOIS JONEMANN
JEAN-MARIE AMBROSI
FABRICE BAUMGARTNER
SENIOR COUNSEL

ANDREW A. BERNSTEIN
PIERRE-YVES CHABERT
JEAN-YVES GARAUD
JOHN D. BRINITZER
MARIE-LAURENCE TIBI
VALÉRIE LEMAITRE
ANNE-SOPHIE COUSTEL
BARTHELEMY FAYE
AMÉLIE CHAMPSAUR
CHARLES MASSON
FRÉDÉRIC DE BURE
SÉVERINE SCHRAMECK
RODOLPHE ELINEAU

SOPHIE DE BEER
DELPHINE MICHOT
EMMANUEL RONCO
LAURIE ACHTOUX-SPIVAK
GUILLAUME DE RANCOURT
JEANNE THEURET
COUNSEL

October 27, 2021

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 "Investment Firm"), an investment firm1 licensed by the French Autorité de Contrôle Prudentiel et de Résolution (the "ACPR"), in connection with its application to register with the United States Securities and Exchange Commission ("SEC") as a non-resident security-based swap ("SBS") dealer ("SBSD").

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

- (a) whether the Investment Firm can, as a matter of French law, provide the SEC with prompt access to its French Books and Records (as defined below);
- (b) whether the Investment Firm can, as a matter of French law, submit to on-site inspection and examination by the SEC of its French Books and Records in France; and

1 It should be noted that, pursuant to Article 8a of Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions, such article requiring certain systemic investment firms to carry out their activities under a credit institution license, BofA Securities Europe SA has submitted a request for authorization to be licensed as a credit institution by the European Central Bank. The contemplated change of license does not affect the analysis set forth in the present opinion.

Cleary Gottlieb Steen & Hamilton LLP ou une entité affiliée dispose d'un bureau dans chacune des villes mentionnées ci-dessus.

7BofA Securities Europe SA

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October 27, 2021

(c) whether the Investment Firm would be in breach of French law by submitting to onsite inspection and examination of its U.S. Books and Records (as defined below) by the SEC in the U.S.

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

1. Defined Terms

For purposes of this opinion letter, capitalized terms not otherwise defined herein shall have the following meaning.

“Authorities” means the French Authorities and the SEC.

“Bank Secrecy Statute” means Article L. 531-122 of the MFC.

“Blocking Statute” means Law No. 68-678 of July 26, 1968, as amended.

“Covered Activities” means all services, activities, and conduct of the Investment Firm 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 Investment Firm and are governed by Laws and Regulations (as defined in the French MOU).

“Covered Books and Records” are only those books and records that relate to the “U.S. business” (as defined in 17 C.F.R. § 240.3a71-3(a)(8)) of the Investment Firm when acting as a non-resident SBSD, i.e., records that relate to an SBS transaction that is either:

(i) entered into, or offered to be entered into, by or on behalf of an investment firm with a U.S. person (other than an SBS conducted through a foreign branch of such U.S. person); or

(ii) arranged, negotiated, or executed by personnel of an investment firm located in a U.S. branch or office, or by personnel of an agent of that investment firm located in a U.S. branch or office.

“Exchange Act” means the Securities Exchange Act of 1934 and the rules and regulations thereunder.

“EU” means the European Union.

“French Books and Records” are those Covered Books and Records that are physically held or electronically stored in France.

“French law” means the laws and regulations of the French Republic, as well as EU regulations (or provisions thereof) that are directly applicable in France without the need to be transposed into national law.

2 A credit institution is subject to equivalent requirements under Articles L. 511-33 and L. 511-34 of the MFC. The Investment Firm would thus remain subject the Bank Secrecy Statute should its request for authorization to be licensed as a credit institution referred to in Footnote 1 be granted by the European Central Bank.

7BofA Securities Europe SA

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October 27, 2021

“GDPR” means Regulation (EU) 2016/679.

“MFC” means the French Monetary and Financial Code.

“Pacte Law” means French Law No. 2019-486 of May 22, 2019.

“Relevant Books and Records” means the French Books and Records and the U.S. Books and Records.

“third country” means a country that is not a member state of the EU or the European Economic Area.

“U.S. Books and Records” are those Covered Books and Records that are kept either physically held or electronically stored in the United States.

## 2. Documents reviewed

In arriving at our opinions below, we have reviewed the Memorandum 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 entities, dated July 23, 2021 (the “French MOU”).$^{3}$

In addition, we have made such investigations of law as we have deemed appropriate as a basis for the opinions expressed below.

## 3. Assumptions

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

(a) the Investment Firm is (i) licensed as an investment firm in France, (ii) subject to the supervision of the French Authorities;

(b) the legislative framework applicable to the SEC provides guarantees in terms of professional secrecy that are at least equivalent to those that are applicable in France;

(c) the Relevant Books and Records consist exclusively of documents, electronic media, and books and records regarding the Covered Activities of the Investment Firm, which are within the possession, custody, and control of the Investment Firm, and necessary for the SEC for purposes of carrying oversight of the Investment Firm in accordance with its regulatory mandate;

(d) the French MOU is in full force and effect and no notice of termination has been sent pursuant to Article 61 thereof;

$^{3}$ Available at : https://www.amf-france.org/sites/default/files/private/2021-07/7.23.21-supervisory-mou-france-final-secured.pdf

7BofA Securities Europe SA

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October 27, 2021

(e) the Authorities will comply in all respects with all provisions of the French MOU;

(f) where the Investment Firm is acting as controller (as defined in Article 4(7) of the GDPR) with respect to any element of the Covered Books and Records that constitutes personal data (as defined in Article 4(1) of the GDPR), the Investment Firm will comply in all respects with all provisions of GDPR and the Guidelines that are relevant in order for at least one of the conditions for transfer of data to a third country pursuant to Article 49 GDPR to be available to it; and

(g) neither the contractual arrangements with its customers nor any orders by, or other arrangements with, supervisory authorities or any other administrative or judicial bodies, prohibit the Investment Firm from providing the SEC with prompt access to the Covered Books and Records, or to submit to on-site inspection and examination by the SEC in France or in the U.S.

#### 4. Opinions

(1) *Characterization of the French MOU as a qualifying cooperation agreement*

The French Law No. 2019-486 of May 22, 2019 (the “Pacte Law”) introduced a specific provision, set out in Article L. 632-17.II MFC, pursuant to which credit institutions and investment firms subject to the supervision of the AMF and the ACPR may, pursuant to the terms and conditions of cooperation agreements referred to in Article L. 632-7 MFC, and subject to reciprocity, communicate to the correspondent authorities of the AMF or the ACPR the information necessary to the accomplishment of their missions, including information covered by professional secrecy, provided that such correspondent authorities are themselves subject to professional secrecy within a legislative framework offering guarantees equivalent to those applicable in France.

Article L. 632-7 MFC provides that, by derogation to the provisions of the Blocking Statute, the AMF and the ACPR may enter into cooperation agreements providing notably for the exchange of information with correspondent authorities of third countries. The information that is exchanged pursuant to these cooperation agreements must benefit from guarantees in terms of professional secrecy that are at least equivalent to those to which French authorities subject to these agreements are subject. The exchange of information must have as its purpose the performance by the competent authorities of their missions. In addition, information received from correspondent authorities may only be divulged with the express approval of the authority that has communicated them and for the sole purposes for which it has given its approval.

Accordingly, in order to qualify as a cooperation agreement as defined in Article L. 632-7 MFC and for purposes of Article L. 632-17.II MFC (hereinafter, a “Qualifying Cooperation Agreement”), the following conditions apply: (i) the agreement must provide for reciprocity between the French authorities, on the one hand, and the correspondent authorities, on the other hand; (ii) such correspondent authorities must be subject, with respect to information exchanged under the agreement, to professional secrecy within a legislative framework offering guarantees at least equivalent to those applicable in France; (iii) the exchange of information must have as its purpose, and be necessary to, the performance by the competent authorities of their mission; and (iv) information received from correspondent

7BofA Securities Europe SA

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October 27, 2021

authorities may only be divulged with the express approval of the authority that has communicated them and for the sole purposes for which it has given its approval.

*Condition (i)* - On the basis of the confirmation by the French Authorities in Article 20(b) of the French MOU that “[the French MOU] complies with the cooperation and reciprocity requirements of Articles L. 632-7 and L. 632-17, respectively, of the MFC”, we are of the view that this condition (i) is satisfied.

*Condition (ii)* - On the basis of the confirmation by the French Authorities in Article 20(b) of the French MOU that “[the French MOU] complies with the cooperation and reciprocity requirements of Articles L. 632-7 and L. 632-17, respectively, of the MFC”, and the assumption set out in item (b) according to which the legislative framework applicable to the SEC provides guarantees in terms of professional secrecy that are at least equivalent to those that are applicable in France, we are of the view that this condition (ii) is satisfied.

*Condition (iii)* - On the basis of the introduction of the French MOU, which states that “[the French MOU] is intended to advance the Authorities’ interests in fulfilling their respective regulatory mandates, particularly in the areas of: investor protection; maintenance of fair, orderly and efficient over-the-counter derivatives markets; capital formation; and mitigation of systemic risk”, of Article 19 of the French MOU, which states that “[the French MOU] is a statement of intent to consult, cooperate, and exchange information in connection with the supervision and oversight of Covered Firms and their Covered Activities, in a manner that is permitted by, and consistent with, the laws and requirements that govern each Authority. The Authorities anticipate that cooperation primarily will be achieved through ongoing informal consultations and exchanges of information related to Covered Firms with respect to their Covered Activities, supplemented by formal cooperation. The provisions of [the French MOU] are intended to support informal and oral consultations and formal cooperation, and to facilitate the written exchange of non-public information in accordance with applicable laws. A primary goal of [the French MOU] is to foster cooperation and the exchange of information among the Authorities to the benefit of oversight of the Covered Firms”, and of the confirmation by the French Authorities in Article 20(b) of the French MOU that “[the French MOU] complies with the cooperation and reciprocity requirements of Articles L. 632-7 and L. 632-17, respectively, of the MFC”, we are of the view that the purpose of the exchange of information between authorities pursuant to the French MOU is the performance by such authorities of their mission, i.e., in this case, the oversight of the Investment Firm and its Covered Activities. In addition, we have assumed under item (c) that the Relevant Books and Records consist exclusively of documents, electronic media, and books and records regarding the Covered Activities of the Investment Firm, which are within the possession, custody, and control of the Investment Firm, and necessary for the SEC for purposes of carrying oversight of the Investment Firm in accordance with its regulatory mandate. On the basis of the foregoing, we are of the view that this condition (iii) is satisfied.

*Condition (iv)* - On the basis of Article 50 of the French MOU, which provides that “[e]xcept for disclosures in accordance with [the French MOU], including permissible uses of information under Article VI, each Authority will keep confidential, to the extent permitted by law, non-public information shared with it by another Authority pursuant to Article III of [the French MOU], including requests made under [the French MOU], the contents of such requests, responses and related communications or consultations between the Authorities, and any other matters arising under [the French MOU]” and that

7BofA Securities Europe SA

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October 27, 2021

*“[e]xcept as provided in Article VI and Paragraphs 51, 52, 53 and 55, the Authorities will not disclose non-public information received from another Authority under Article III of [the French MOU] to any third party for any purpose unless the Requesting Authority has obtained the prior written consent of the Requested Authority”, and of the confirmation by the French Authorities in Article 20(b) of the French MOU that “[the French MOU] complies with the cooperation and reciprocity requirements of Articles L. 632-7 and L. 632-17, respectively, of the MFC”, we are of the view that this condition (iv) is satisfied.*

For the reasons set out above, and subject to the assumptions and qualifications set out herein, we are of the view that the four above conditions are satisfied and that, accordingly, the French MOU can be characterized as a Qualifying Cooperation Agreement.

### (2) Blocking Statute

The Blocking Statute provides that *“subject to international treaties or agreements and applicable laws and regulations, it is prohibited for any person to request, search for or communicate, in writing, orally or in any other form, documents or information of an economic, commercial, industrial, financial or technical nature that could constitute evidence in the context or in view of foreign judicial or administrative proceedings”*.

The Blocking Statute, while broad in nature, is therefore subject to other applicable French laws and regulations, which include Articles L. 632-17.II and L. 632-7 MFC.

On the basis that the French MOU is a Qualifying Cooperation Agreement, and of our assumption in item (e) according to which the Authorities will comply in all respects with all provisions of the French MOU, including without limitation Section IV (with respect to direct information requests) and Section V (with respect to onsite visits), we are of the view that (i) the provision by the Investment Firm to the SEC of prompt access to its French Books and Records, (ii) the submission by the Investment Firm to on-site inspection and examination by the SEC of its French Books and Records in France and (iii) the submission by the Investment Firm to onsite inspection and examination of its U.S. Books and Records by the SEC in the U.S., do not violate the Blocking Statute.

### (3) Bank Secrecy Statute

The Bank Secrecy Statute prohibits French credit institutions and investment firms (and their managers, employees and representatives) from communicating client-related information to any person, including foreign authorities such as the SEC, subject to certain exceptions. Article L. 632-17.II MFC sets out an exception to the Bank Secrecy Statute by providing that information may be exchanged in accordance with the conditions set out in that Article, including information that is covered by professional secrecy.

On the basis that the French MOU is a Qualifying Cooperation Agreement, and of our assumption in item (e) according to which the Authorities will comply in all respects with all provisions of the French MOU, including without limitation Section IV (with respect to direct information requests) and Section V (with respect to onsite visits), we are of the view that (i) the provision by the Investment Firm to the SEC of prompt access to its French Books and Records, (ii) the submission by the Investment Firm to on-site inspection and examination by the SEC of its French Books and Records in France and (iii) the submission by the Investment Firm to onsite inspection and examination of its U.S. Books and Records by the SEC in the U.S., do not violate the Bank Secrecy Statute.

7BofA Securities Europe SA

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October 27, 2021

(4) Privacy laws

As described in Articles 39 and 40 of the French MOU, the GDPR includes mechanisms that permit the transfer of personal data from entities, acting as controller or processor, in the EU such as the Investment Firm to public authorities such as the SEC in the absence of an adequacy decision pursuant to Article 45(3) of the GDPR.4 For instance, Article 46(1) of the GDPR provides that an EU entity may transfer personal data to a third country if the entity has provided "appropriate safeguards, and on condition that enforceable data subject rights and effective legal remedies for data subjects are available." Furthermore, Article 49 of the GDPR provides that in the absence of an adequacy decision pursuant to Article 45(3) of the GDPR, or of appropriate safeguards pursuant to Article 46, a transfer or a set of transfers of personal data to a third country may take place pursuant to a derogation provided that the conditions of such a derogation are met. Such conditions include:

1. the data subject has explicitly consented to the proposed transfer, after having been informed of the possible risks of such transfers for the data subject due to the absence of an adequacy decision and appropriate safeguards;
2. the transfer is necessary for the performance of a contract between the data subject and the controller or the implementation of pre-contractual measures taken at the data subject's request;
3. the transfer is necessary for the conclusion or performance of a contract concluded in the interest of the data subject between the controller and another natural or legal person;
4. the transfer is necessary for important reasons of public interest; and
5. in case none of the above conditions are applicable, if the transfer is not repetitive, concerns only a limited number of data subjects, is necessary for the purposes of compelling legitimate interests pursued by the controller which are not overridden by the interests or rights and freedoms of the data subject, and the controller has assessed all the circumstances surrounding the data transfer and has on the basis of that assessment provided suitable safeguards with regard to the protection of personal data. The controller shall, in addition to providing the information referred to in Articles 13 and 14 of the GDPR, inform the data subject of the transfer and of the compelling legitimate interests pursued.

In addition, the European Data Protection Board has issued guidelines to provide guidance as to the application of Article 49 of the GDPR on derogations in the context of transfers of personal data to third countries (the "Guidelines").5

4 According to Article 44 of the GDPR, any transfer of personal data to third countries or international organizations must, in addition to complying with Chapter V of the GDPR, also meet the conditions of the other provisions of the GDPR

5 The guidelines are available at: https://edpb.europa.eu/sites/edpb/files/files/file1/edpb_guidelines_2018_derogations_en.pdf

7BofA Securities Europe SA

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October 27, 2021

Given the absence of an adequacy decision pursuant to Article 45(3) of the GDPR, the Investment Firm can provide access to the SEC to, and submit to onsite inspection by the SEC with respect to, elements of Covered Books and Records that constitute personal data (as defined in Article 4(1) of the GDPR) only if the conditions of Article 46(1) GDPR or Article 49 GDPR (as interpreted by the Guidelines) are satisfied.

On the basis of our assumption in item (f) according to which, where the Investment Firm is acting as controller (as defined in Article 4(7) of the GDPR) with respect to any element of the Covered Books and Records that constitutes personal data (as defined in Article 4(1) of the GDPR), the Investment Firm will comply in all respects with all provisions of GDPR and the Guidelines that are relevant in order for at least one of the conditions for transfer of data to a third country pursuant to Article 49 GDPR to be available to it, we are of the view that (i) the provision by the Investment Firm to the SEC of prompt access to its French Books and Records, (ii) the submission by the Investment Firm to on-site inspection and examination by the SEC of its French Books and Records in France and (iii) the submission by the Investment Firm to onsite inspection and examination of its U.S. Books and Records by the SEC in the U.S., do not violate the GDPR.

#### (6) Conclusion

Based on the above and subject to the assumptions and qualifications set forth herein, we are of the opinion that the Investment Firm can, as a matter of French law, (a) provide the SEC with prompt access to its French Books and Records; (b) submit to on-site inspection and examination by the SEC of its French Books and Records in France; and (c) submit to onsite inspection and examination of its U.S. Books and Records by the SEC in the U.S.

### 5. Qualifications

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

1. This opinion letter relates exclusively to (i) the access provided to the SEC to the French Books and Records in respect of which, for purposes of French data protection laws, the Investment Firm is an independent data controller, and (ii) on-site inspection and examination by the SEC of the French Books and Records at the Investment Firm in France and the U.S. Books and Records at the Investment Firm in the United States, as the case may be.

2. This opinion is confined to legal matters, and we express no opinion as to any factual matters.

3. 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 may therefore only be relied upon under the condition that this opinion letter shall be governed by French law and construed in accordance with French rules of construction and that issues of interpretation of this opinion must be brought before a French court.

4. 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 date hereof and as applied according to published case law.

7BofA Securities Europe SA

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October 27, 2021

5. The opinions expressed herein are rendered on and as of the date hereof, and we assume no obligation to advise you (or any other person who may rely on this opinion in accordance with the paragraph above), or undertake any investigations, as to any legal developments or factual matters arising subsequent to the date hereof 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.

6. We note that the French MOU is not a legally binding agreement and therefore that the Authorities are not under a legal obligation to comply with its provisions.

7. The opinion statements to the effect that the Investment Firm “can”, as a matter of French law, take certain actions is not an expression of any opinion or a confirmation that it may (lawfully) do so in any given instance where the opportunity, or request, or requirement to do so arises. It is a fundamental part of this opinion that the GDPR stipulate certain legal bases on which such action may be taken, but the lawfulness of actually taking such action is subject to the scope and qualifications of the relevant legal basis. The justification for whether such legal basis has been made out, and the extent of (and qualifications to) its application to the relevant personal data to which the relevant action relates, must be determined on a case-by-case basis by the Investment Firm if and when the SEC requires disclosure of or access to Relevant Books and Records that may contain personal data.

#### 6. Reliance

This opinion is given for the sole benefit of the Investment Firm in connection with the SBSD registration of the Investment Firm. This opinion letter may be shared with the SEC. It may not be shared with or relied upon by anyone else without our prior written consent.

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,

CLEARY GOTTLIEB STEEN & HAMILTON LLP

By: _________________________

Amélie Champsaur, a Partner

**Attachment 3:** `BofASESBSDAAmd7SmryOfChanges.pdf`

# BofA Securities Europe SA

Form SBSE-A

**Amendment - SBSE-A/A**

**January 23, 2023**

The following changes were made in this Amendment:

## Changes to Principals

Anne Finucane - Removed as Director

## Update to Section II Foreign Financial Regulatory Authorities

European Central Bank - Country was changed to Germany from France

## Changes to Question 13B

CHICAGO MERCANTILE EXCHANGE INC. - Added to Execute or Trade section

AO RAIFFEISENBANK - Added to Custody, Clear, or Settle section

Islandsbanki HF. - Added to Custody, Clear, or Settle section

CITIBANK N.A. LONDON BRANCH - Removed from Custody, Clear, or Settle section

CBOE CLEAR EUROPE - Updated name from EUROPEAN CENTRAL COUNTERPARTY

N.V. in Custody, Clear, or Settle section

**Attachment 4:** `BofASESBSDACombined13BAmd7.pdf`

# BofA Securities Europe SA

Form SBSE-A

Supplemental Filing Attachment:

**Amendment to Schedule B, Section II**

**Question 13B**

**January 23, 2023**

# **BofA Securities Europe SA - Response to Question 13B of Form SBSE-A with respect to arrangements with others who Execute or Trade**

| Venue Legal Entity Name | Business Address | LEI |
| --- | --- | --- |
| 360 TREASURY SYSTEMS AG | Grüneburgweg 16-18, Frankfurt am Main, GERMANY, 60322 | 529900P0204W9HA8JP36 |
| AQUIS EXCHANGE EUROPE | 231 RUE SAINT HONORE, PARIS, FRANCE, 75001 | 9695002NSIQWF9A09R56 |
| AQUIS EXCHANGE PLC | 77 Cornhill, LONDON, UNITED KINGDOM, EC3V 3QQ | 213800IXJSF5E1SIW150 |
| BANK OF GREECE S.A. | 21 El. Venizelou, ATHENS, GREECE, 10250 | 549300WJCD3M10KM9G60 |
| BLOOMBERG TRADEBOOK CANADA COMPANY | BROOKFIELD PLACE,TD CANADA TRUST TOWER 1, TORONTO, CANADA, M5J 2S1 | 254900N3K8DHWXXMF546 |
| BLOOMBERG TRADEBOOK LLC | 731 LEXINGTON AVE, New York, UNITED STATES, 100221331 | 549300P0PVQN0A3T7K36 |
| BLOOMBERG TRADEBOOK SINGAPORE PTE LTD | 23 Church Street, SINGAPORE, SINGAPORE, 49481 | 254900HSS82AHMTPAD95 |
| BLOOMBERG TRADING FACILITY B.V. | Stadhouderskade 14, Amsterdam, NETHERLANDS, 1054 ES | 254900QBKK4WB5O3GE51 |
| BLOOMBERG TRADING FACILITY LIMITED | 3 Queen Victoria Street, LONDON, UNITED KINGDOM, EC4N 4TQ | 549300ROEJDDAXM6LU05 |
| BOLSAS Y MERCADOS ESPAÑOLES MARKET DATA SA | PLAZA LEALTAD 1, MADRID, SPAIN, 28014 | 9598004ZGCP6V6FFL574 |
| BOLSAS Y MERCADOS ESPAÑOLES RENTA FIJA SA. | PLAZA LEALTAD 1, MADRID, SPAIN, 28014 | 95980096HCV0D0TYCR12 |
| BOLSAS Y MERCADOS ESPAÑOLES SERVICIOS CORPORATIVOS SA | PLAZA LEALTAD 1, MADRID, SPAIN, 28014 | 959800FNX1M3B7UX0M16 |
| BOLSAS Y MERCADOS ESPAÑOLES SISTEMAS DE NEGOCIACION SA | PLAZA LEALTAD (PALACIO DE LA BOLSA) 1, MADRID, SPAIN, 28014 | 95980079EEM99NRS7242 |
| BONDSPOT S A | Ul. Ksiazeca 4, Warszawa, POLAND, 00-498 | 259400N28EKSTIFFCL55 |
| BORSA ITALIANA SPA | PIAZZA DEGLI AFFARI 6, MILANO, ITALY, 20123 | 8156005391EE905D3124 |
| BORSE BERLIN AG | Fasanenstr. 85, Berlin, GERMANY, 10623 | 391200I7OS301UELZA68 |
| CBOE EUROPE B.V. | Gustav Mahlerlaan 1212, Amsterdam, Netherlands, 1081 LA | 2549007JY1TP7J1IMY80 |
| CBOE EUROPE LIMITED | The Monument Building, LONDON, UNITED KINGDOM, EC3R 8AF | 254900ERRP5KE7UZH711 |
| CME AMSTERDAM B.V. | Nieuwezijds Voorburgwal 104 1.05 en 1.06Uni, Amsterdam, NETHERLANDS, 1012 SG | 2138004TYNQCB7MLTG76 |
| DEUTSCHE BORSE AG | Mergenthalerallee 61, Eschborn, GERMANY, 65760 | 529900G3SW56SHYNPR95 |
| DIGITAL VEGA FX LTD | 9Th Floor, LONDON, UNITED KINGDOM, EC2V 6DN | 213800GQ81SBZ7SCHZ94 |
| EUREX FRANKFURT AG | Mergenthalerallee 61, Eschborn, GERMANY, 65760 | 529900UT4DG0LGSR9007 |
| EUREX REPO GMBH | Mergenthalerallee 61, Eschborn, GERMANY, 65760 | 529900QA7T9JLRFVNN10 |
| EUROMTS LTD | 7TH FLOOR, 110 CANNON STREET, LONDON, EC4N 6EU, GB | 213800OANOWGT2KW8063 |
| EURONEXT AMSTERDAM N.V. | Beursplein 5, Amsterdam, NETHERLANDS, 1012 JW | 724500V6UOK6ZEZ2L78 |
| EURONEXT BRUSSELS SA | Rue du Marquis 1, Internal Postal Box 1, Bruxelles, BELGIUM, 1000 | 549300YFLUF2KAS0TM17 |
| EURONEXT LISBON - SOCIEDADE GESTORA DE MERCADOS REGULAMENTADOS, S.A. | AVENIDA DA LIBERDADE, 196 7o, LISBOA, PORTUGAL, 1250-147 | 529900K0OK4J5J7A5V66 |
| EURONEXT N.V. | Beursplein 5, Amsterdam, NETHERLANDS, 1012 JW | 724500QJAQSZ3H9QU415 |
| EURONEXT PARIS SA | PARIBOURSE SBF SOC BOURSES FRANCAISES, COURBEVOIE, FRANCE, 92400 | 969500HMVSZ0TCV65D58 |
| EUROPEAN ENERGY EXCHANGE AG | Augustusplatz 9, Leipzig, GERMANY, 4109 | 529900J0JGL5FDWNFC20 |
| GLMX TECHNOLOGIES LLC | 330 7th Ave FL 17, New York, UNITED STATES, 100015246 | 254900ASG2SHGJ66W93 |
| HELLENIC EXCHANGES - ATHENS STOCK EXCHANGE S.A. | 110 Athinon Ave, ATHENS, GREECE, 10442 | 549300GSRN07MNENPL97 |
| HRTEU LIMITED | 7 Grand Canal, Grand Canal Street Lower, D02 KW81, Dublin | 21380043Y9S8KQ3PA19 |
| ICE ENDEX MARKETS B.V. | Hoogoorddreef 7 Australia bl, Amsterdam, NETHERLANDS, 1101 BA | 549300CZW488L20NT866 |
| ICE FUTURES EUROPE | Milton Gate, LONDON, UNITED KINGDOM, EC1Y 4AG | 549300UF4R84F48NCH34 |
| INTEGRAL DEVELOPMENT CORPORATION (EUROPE) LIMITED | 19th floor, 100 Bishopsgate, EC2N 4AG, London | 549300YLYOXGEY04YK89 |
| KING & SHAXSON CAPITAL LTD | First Floor Cutlers Court, LONDON, UNITED KINGDOM, EC3A 7BR | 213800ARTVZQ5ADR2559 |
| LMAX LTD | Monsoon Building, LONDON, UNITED KINGDOM, W11 4AN | 21380034TU2T18CNZ578 |
| LONDON STOCK EXCHANGE PLC | The London Stock Exchange, LONDON, UNITED KINGDOM, EC4M 7LS | 213800D1EI4B9WTWWD28 |

| MARKETAXESS NL B.V. | Herengracht 280, Amsterdam, NETHERLANDS, 1016 BX | 5299000UUYW66L5LT560 |
| --- | --- | --- |
| MEFF SOCIEDAD RECTORA DEL MERCADO DE PRODUCTOS DERIVADOS SA | PLAZA LEALTAD 1, MADRID, SPAIN, 28014 | 959800T2W59YXMVKRU25 |
| MTS ASSOCIATED MARKETS SA | RUE DES COMEDIENS, 16-22, 1000, BRUXELLES, BE \| Belgium | 213800C8G8MWTRIAOJ67 |
| MTS SPA | VIA TOMACELLI 146, 00186, ROME, Italy | 213800ZMKPU1VKLCT69 |
| NASDAQ COPENHAGEN A/S | Nikolaj Plads 6, KØBENHAVN, DENMARK, 1067 | 549300JNYZUL5PLI8E17 |
| NASDAQ OMX HELSINKI OY | Fabianinkatu 14, HELSINKI, FINLAND, 100 | 743700NAXL4Q86IEX32 |
| NASDAQ STOCKHOLM AB | Tullvaktsvägen 15, Stockholm, SWEDEN, 115 56 | 549300KBQJVNEJEZVL96 |
| OSLO BORS ASA | Tollbugata 2, Oslo, NORWAY, 152 | 5967007LIEEXZXHDL433 |
| SOCIEDAD DE BOLSAS SA | PLAZA LEALTAD 1, MADRID, SPAIN, 28014 | 9598001WTPGD8A01N979 |
| SOCIEDAD RECTORA DE LA BOLSA DE VALORES DE MADRID SA | PLAZA LEALTAD (PALACIO DE LA BOLSA) 1, MADRID, SPAIN, 28014 | 959800UYJM40XUGVGG78 |
| STATE STREET GLOBAL MARKETS INTERNATIONAL LTD | 20 Churchill Place Canary Wharf, LONDON, UNITED KINGDOM, E14 5HJ | 549300SQM0MRIF4HE647 |
| TFS-ICAP LTD | Beaufort House, LONDON, UNITED KINGDOM, EC3A 7QX | 549300ETKP1MFYX3RQ19 |
| THE IRISH STOCK EXCHANGE PUBLIC LIMITED COMPANY | 28 Anglesea Street, Dublin, IRELAND, N/A | 635400DZBUIMTBCXGA12 |
| TRADEWEB EUROPE LTD | 1 Fore Street Avenue, LONDON, UNITED KINGDOM, EC2Y 9DT | 2138001WXZQOPMPA3D50 |
| TRAYPORT LTD | 7Th Floor, LONDON, UNITED KINGDOM, EC2A 2AP | 213800PICGAHUDMI1246 |
| TSAF OTC S.A. | 9 PL VENDOME, PARIS 1, 75001, FR | 969500V058ZSY03FNX80 |
| VIRTU ITG EUROPE LIMITED | George's Court, Dublin, IRELAND, 2 | 213800EEC95PRUCEUP63 |
| WARSAW STOCK EXCHANGE | Ksiazeca 4, Warsaw, POLAND, 00-498 | 25940039ZHD3Z37GKR71 |
| WIENER BÖRSE AG | Wallnerstraße 8, WIEN, AUSTRIA, 1010 | 315700ENWH1A81RCVZ91 |
| CHICAGO MERCANTILE EXCHANGE INC. | 20 S WACKER DR, Chicago, UNITED STATES, 606067431 | SNZ2OJFK8MNNCLQOF39 |

# **BofA Securities Europe SA - Response to Question 13B of Form SBSE-A with respect to arrangements with others who Custody, Clear, or Settle**

| Entity Name | External LEI | Full Address of Third Party | Location | Category | Sub category | Product |
| --- | --- | --- | --- | --- | --- | --- |
| BANK POLSKA KASA OPIEKI SA | 5493000LKS7B3UTF7H35 | Żwirki i Wigury 31, 02-091 Warsaw, Poland | POLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS SA | ROMUWSFPU8MPRO8K5P83 | Les Grands Moulin de Pantin, 9 Rue du Debarcadere 93500 Pantin, France | FRANCE/Portugal | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP Paribas S.A., Succursale Italia | ROMUWSFPU8MPRO8K5P83 | Piazza Lina Bo Bardi 3, 20124 Milano, Italy 20124 Milano | ITALY | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS SA SUCURSAL EN ESPANA | ROMUWSFPU8MPRO8K5P83 | Calle de Emilio Vargas 4, 28043 Madrid, Spain | SPAIN | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS, Paris, Zurich Branch | ROMUWSFPU8MPRO8K5P83 | Selnaustrasse 16, PO Box, 8022 Zurich, Switzerland | SWITZERLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP PARIBAS Australia Branch | ROMUWSFPU8MPRO8K5P83 | Level 4, 60 Castlereagh Street, Sydney, NSW, 2000, Australia | NEW ZEALAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP Paribas S.A. Niederlassung Deutschland | ROMUWSFPU8MPRO8K5P83 | Senckenberganlage 19, 60325 Frankfurt am Main, Germany | AUSTRIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| BNP Paribas S.A. Niederlassung Deutschland | ROMUWSFPU8MPRO8K5P83 | Senckenberganlage 19, 60325 Frankfurt am Main, Germany | GERMANY | Partner Bank | Securities Partner Bank | Sub Custodian |
| BME CLEARING SA | 5299009QA8BBE2OOB349 | PLAZA DE LA LEALTAD 1, 1, 28014, Madrid, Spain | SPAIN | Financial Market Utility | Central Counterparty (CCP) | Financial Derivatives |
| CCP AUSTRIA ABWICKLUNGSSTELLE FÜR BORSENGESCHAFTE GMBH | 529900QF6QY66QULSI15 | Strauchgasse 1-3, 1010, Wien, AT-9, Austria | AUSTRIA | Financial Market Utility | Central Counterparty (CCP) | Equity |
| N A CITIBANK | E57ODZWZ7FF32TWEFA76 | 388 Greenwich Street New York NY 10013 | UNITED STATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| BANCO NACIONAL DE MEXICO, S.A. | 2SFFM4FUIE05S37WFU55 | Actuario Roberto Medellin. 800 Colonia Santa Fe Mexico D.F 01219 | MEXICO | Partner Bank | Securities Partner Bank | Sub Custodian |
| AO Citibank | CHSQDSVI1UI96Y2SW097 | 8-10, bld.1, Gasheka street, Moscow, 125047, Russia | RUSSIAN FEDERATION | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK, N.A. (BANGKOK BRANCH) | E57ODZWZ7FF32TWEFA76 | 18th Floor, 399 Interchange 21 Building, Sukhumvit Road, Klongtoey Nua, Wattana District, Bangkok 10110, THAILAND | THAILAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. ISRAEL BRANCH | E57ODZWZ7FF32TWEFA76 | Ha'arba'a 21 Tel Aviv | ISRAEL | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK BERHAD | E57ODZWZ7FF32TWEFA76 | Level 43, Securities Services, Menara Citibank, 165 Jalan Ampang, 50450 Kuala Lumpur, Malaysia | MALAYSIA | Partner Bank | Securities Partner Bank | Sub Custodian |

| CITIBANK, N.A. (HONG KONG BRANCH) | E57ODZWZ7FF32TWEFA76 | Citi HK address: 50/F, Champion Tower, Three Garden Road, Central, Hong Kong Citi China address: 35/F, Citigroup Tower, No.33 Hua Yuan Shi Qiao Road, Lu Jia Zui Finance and Trade Zone, Shanghai, 200120, P.R. China | CHINA | Partner Bank | Securities Partner Bank | Sub Custodian |
| --- | --- | --- | --- | --- | --- | --- |
| CITIBANK, N.A. (HONG KONG BRANCH) | E57ODZWZ7FF32TWEFA76 | 50/F Citibank Tower, Citibank Plaza, 3 Garden Road, Central, Hong Kong | HONG KONG | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. (MUMBAI BRANCH) | E57ODZWZ7FF32TWEFA76 | Citibank N.A. FIFC, C-54 & 55, G Block, Bandra Kura Complex, Bandra East, Mumbai - 400051 | INDIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK EUROPE PLC, GREECE BRANCH | N1FBEDJ5J41VKZLO2475 | 8 Othonos street, 10557 Athens, Greece | GREECE / CYPRUS | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A., PAKISTAN | E57ODZWZ7FF32TWEFA76 | Army Welfare Trust (AWT) Plaza, I.I.Chundrigar Road, Karachi, Pakistan-74200 | PAKISTAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK SINGAPORE LIMITED | 549300BSM2K5JOIUQ068 | 8 Marina View, #16-00 Asia Square Tower 1, Singapore 018960 | SINGAPORE | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK ANONIM SIRKETI | CW28NZDH5SKY12Q4US31 | Tekfen Tower, Eski Buyukdere Caddesi 209 Kat 2, Postal Code 34394 Levent, Istanbul - Turkey | TURKEY | Partner Bank | Securities Partner Bank | Sub Custodian |
| JOINT STOCK COMPANY 'CITIBANK' | 549300E0ROTI7ACBZH02 | Bud.16-g, Dilova Str, 03150, Kyiv, Ukraine | UKRAINE | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK NA (PHILIPPINES BRANCH) | E57ODZWZ7FF32TWEFA76 | Citibank N.A. Philippine Branch 16th Floor, Citibank Plaza, 34th St., Bonifacio Global City, Taguig City, Metro Manila ,Philippines 1634 | PHILIPPINES | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK N.A. EGYPT | E57ODZWZ7FF32TWEFA76 | Level 3, 46, Al Salam Axis Street, First Sector at the Fifth Settlement, New Cairo - Cairo, Egypt | EGYPT | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIBANK KOREA INC. | 745P3MMS7E8CUVXDRJ82 | 50, Saemunan-ro, Jongno-gu, Seoul, 03184, Korea | SOUTH KOREA | Partner Bank | Securities Partner Bank | Sub Custodian |
| N A Citibank | 8B4EZFY8IHJC44TT2K84 | Estado 260, Level 2, Santiago, Chile 8320204 | CHILE | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITIGROUP PTY LIMITED | 0C45RG70GW42XSBLJ131 | Level 16, 120 Collins Street, Melbourne VIC 3000 | AUSTRALIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| EUREX CLEARING AG | 529900LN3S50JPU47S06 | Mergenthalerallee 61 65760 Eschborn, DE-HE Germany | GERMANY | Financial Market Utility | Central Counterparty (CCP) | Frankfurt Stock Exchanges Equities |
| EUREX CLEARING AG | 529900LN3S50JPU47S06 | Mergenthalerallee 61 65760 Eschborn, DE-HE Germany | GERMANY | Financial Market Utility | Central Counterparty (CCP) | OTC IRS |

| EUREX CLEARING AG | 529900LN3S50JPU47S06 | Mergenthalerallee 61 65760 Eschborn, DE-HE Germany | GERMANY | Financial Market Utility | Central Counterparty (CCP) | Transactions at Eurex Deutschland |
| --- | --- | --- | --- | --- | --- | --- |
| CLEARSTREAM INTERNATIONAL SA | 549300OL514RA0SXJJ44 | 11 Westferry Circus, Canary Wharf, London, E14 4HE, United Kingdom | LUXEMBOURG | Partner Bank | Securities Partner Bank | International Central Securities Depository |
| EUROPEAN COMMODITY CLEARING AG | 529900M6JY6PUZ9NTA71 | Augustusplatz 9, 04109, Leipzig, Germany | GERMANY | Financial Market Utility | Central Counterparty (CCP) | Commodity |
| CLEARSTREAM BANKING AG | 549300298FD7AS4PPU70 | Mergenthalerallee 61, 65760, Eschborn, Germany | GERMANY | Financial Market Utility | Central Securities Depository (CSD) | Securities |
| EUROCLEAR BANK SA | 549300OZ46BRLZ8Y6F65 | 1 Boulevard du Roi Albert II, B - 1210 Brussels, Belgium | BELGIUM | Partner Bank | Securities Partner Bank | International Central Securities Depository |
| EUROCLEAR UK & IRELAND LTD | 549300M5MYAD51WHJD55 | Euroclear UK & International Ltd, 33 Cannon Street, London EC4M 5SB, United Kingdom | UNITED KINGDOM | Financial Market Utility | Central Securities Depository (CSD) | Securities - CREST |
| EUROCLEAR FRANCE | 54930060MY6S68NEUP16 | Euroclear France: 66 rue de la Victoire, 75009 PARIS | France | Financial Market Utility | Central Securities Depository (CSD) | Securities |
| Cboe Clear Europe | 724500937F740MHCX307 | Strawinskylaan 1847, Tower I, Level 3, 1077XX, Amsterdam, NL, Netherlands | NETHERLANDS | Financial Market Utility | Central Counterparty (CCP) | Equity |
| HSBC SAUDI ARABIA | 2138009S6SHV5GLS7987 | HSBC Head Office, 2nd Floor, 7267 Olaya, Al Murooj, Riyadh 12283-2255, Kingdom of Saudi Arabia | SAUDI ARABIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| HSBC BANK MIDDLE EAST LIMITED, QATAR BRANCH | 549300F99IL9YJDWH369 | Securities Services Department (HSS Dept), 2nd Floor, Ali Bin Ali Tower Building no: 150, Al Matar Street (Airport Road), P.O.Box 57. Street no. 950, Ummghuwalina Area, Doha, Qatar | QATAR | Partner Bank | Securities Partner Bank | Sub Custodian |
| THE HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (SRI LANKA BRANCH) | 2HI3YI5320L3RW6NJ957 | No 24, Sir Baron Jayatilaka Mawatha, Colombo 1, Sri Lanka | SRI LANKA | Partner Bank | Securities Partner Bank | Sub Custodian |
| HSBC BANK MIDDLE EAST LIMITED, KUWAIT BRANCH | 549300F99IL9YJDWH369 | Qibla Area, Hamad Al-Saqr St., Kharafi Tower, G/1/2 Floors, P.O Box 1683, Safat 13017 Kuwait | KUWAIT | Partner Bank | Securities Partner Bank | Sub Custodian |
| HSBC BANK (TAIWAN) LIMITED | 549300SG184IVNYDMN03 | 13F, No. 333 Keelung Road, Sec. 1, Xinyi District, Taipei 110, Taiwan | TAIWAN | Partner Bank | Securities Partner Bank | Sub Custodian |

| ICE CLEAR EUROPE LTD | 5R6J7JCQRIPQR1EEP713 | MILTON GATE, 60 CHISWELL STREET, London EC1Y 4SA, GB | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | CDS |
| --- | --- | --- | --- | --- | --- | --- |
| ICE CLEAR EUROPE LTD | 5R6J7JCQRIPQR1EEP713 | MILTON GATE, 60 CHISWELL STREET, London EC1Y 4SA, GB | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | Listed |
| KBC Bank Bulgaria EAD | 5299009KAL4KO7584196 | 55 Nikola Vaptsarov Blvd., Expo 2000, Phase III, 4 floor, 1407 Sofia, Bulgaria | BULGARIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| LCH LIMITED | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street, EC3N 1EA London | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | EquityClear (SCM) |
| LCH LIMITED | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street, EC3N 1EA London | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | LCH SwapClear (SCM) |
| LCH LIMITED | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street, EC3N 1EA London | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | Listed Interest Rates (SCM) |
| LCH LIMITED | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street, EC3N 1EA London | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | RepoClear (SCM) |
| CASSA DI COMPENSAZIONE E GARANZIA SPA | 8156006407E264D2C725 | VIA TOMACELLI, 146, 00186, Roma, Italy | ITALY | Financial Market Utility | Central Counterparty (CCP) | Cash Equity and Derivatives |
| BANQUE CENTRALE DE COMPENSATION (LCH SA) | R1IO4YJ0079SMWVCHB58 | 18 RUE DU 4 SEPTEMBRE, 75002, Paris, FR-75, France | FRANCE | Financial Market Utility | Central Counterparty (CCP) | Cash Equity and Derivatives |
| BANQUE CENTRALE DE COMPENSATION (LCH SA) | R1IO4YJ0079SMWVCHB58 | 18 RUE DU 4 SEPTEMBRE, 75002, Paris, FR-75, France | FRANCE | Financial Market Utility | Central Counterparty (CCP) | CDS Clear |
| BANQUE CENTRALE DE COMPENSATION (LCH SA) | R1IO4YJ0079SMWVCHB58 | 18 RUE DU 4 SEPTEMBRE, 75002, Paris, FR-75, France | FRANCE | Financial Market Utility | Central Counterparty (CCP) | Fixed Income |
| NASDAQ CLEARING AB | 54930002A8LR1AAUCU78 | Tullvaktsvägen 15, 115 56, Stockholm, SE, Sweden | SWEDEN | Financial Market Utility | Central Counterparty (CCP) | Financial Products |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | FINLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | Denmark | Partner Bank | Securities Partner Bank | Sub Custodian |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | Norway | Partner Bank | Securities Partner Bank | Sub Custodian |
| Skandinaviska Enskilda Banken AB (publ) | F3JS33DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | Sweden | Partner Bank | Securities Partner Bank | Sub Custodian |

| SOCIETE GENERALE MAROCAINE DE BANQUES SA | 549300WHIMVBNIDQWK21 | 55, Boulevard Abdelmoumen, Casablanca, 20100, Morocco | MOROCCO | Partner Bank | Securities Partner Bank | Sub Custodian |
| --- | --- | --- | --- | --- | --- | --- |
| UNION INTERNATIONAL DE BANQUES SA | 549300WKCW12LEPUMV07 | Union Internationale de Banques 65 Av Habib Bourguiba 1000 Tunis - Tunisia | TUNISIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| THE STANDARD BANK OF SOUTH AFRICA LTD | QFC8ZCW3Q5PRXU1XTM60 | Investor Services, 3rd Floor, 25 Pixley Ka Isaka Seme Street, Johannesburg, 2001 | SOUTH AFRICA | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANBIC IBTC BANK PLC | 029200098C3K8BIZD551 | Stanbic I.B.T.C Bank PLC I.B.T.C Place Walter Carrington Crescent Victoria Island Lagos Nigeria | NIGERIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK (MAURITIUS) LIMITED | 549300R0Q58QYRNZLS10 | Standard Chartered Bank (Mauritius) Limited Standard Chartered Tower 19th Bank Street, Cybercity 72201 Ebene, Mauritius | MAURITIUS | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK (INDONESIA BRANCH) | RILFO74KP1CM8P6PCT96 | World Trade Center II, 3rd Floor Jl.Jend. Sudirman Kav.29-31 Jakarta 12920 | INDONESIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, OMAN BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Bait Al Falaj Street, Ruwi, Sultanate of Oman | OMAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, JORDAN BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Shemissani Main Building, Al Thakafa Street, Amman - 111910, Jordan | JORDAN | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, BAHRAIN BRANCH | RILFO74KP1CM8P6PCT96 | Manama Main Branch, Building no.180, Government Avenue, Manama 315. Kingdom of Bahrain | BAHRAIN | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK KENYA LTD | 549300RBHWW5EJIRG629 | Standard Chartered Bank Kenya Limited, Standard Chartered@Chiromo, 48 Westlands Road, P. O. Box 30003 - 00100, Nairobi, Kenya | KENYA | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, UAE BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Building 1, DIFC, 4th Floor, PO Box 999, Dubari, UAE | UNITED ARAB EMIRATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, DIFC BRANCH | RILFO74KP1CM8P6PCT96 | Standard Chartered Bank, Building 1, DIFC, 4th Floor, PO Box 999, Dubari, UAE | UNITED ARAB EMIRATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| THE BANK OF NEW YORK MELLON | HPFHU00Q28E4N0NFVK49 | 240 Green Street, New York, NY 10286 | UNITED STATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| UNICREDIT BANK CZECH REPUBLIC AND SLOVAKIA, A.S. | KR6LSKV3BTSJRD41IF75 | Želetavská 1525/1, 140 92 Praha 4 - Michle, Czech Republic | CZECH REPUBLIC | Partner Bank | Securities Partner Bank | Sub Custodian |
| UniCredit Bank Czech Republic and Slovakia, a.s., Pobocka Zahraničnej Banky | KR6LSKV3BTSJRD41IF75 | Šancová 1/A 813 33 Bratislava | SLOVAK REPUBLIC | Partner Bank | Securities Partner Bank | Sub Custodian |

| UNICREDIT BANK HUNGARY ZRT. | Y28RT6GGYJ696PMW8T44 | Szabadság tér 5-6. HU-1054 Budapest | HUNGARY | Partner Bank | Securities Partner Bank | Sub Custodian |
| --- | --- | --- | --- | --- | --- | --- |
| UNICREDIT BANK S.A. | 5493003BDYD5VPGUQS04 | 1F Expozitiei Blvd. RO-012101, Bucharest 1, Romania | ROMANIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| UNICREDIT BANKA SLOVENIJA d.d. | 549300O2UN9JLME31F08 | Šmartinska 140 SI-1000 Ljubljana, Slovenija/Slovenia | SLOVENIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| ZAGREBACKA BANKA D.D. | PRNXTNXHBI0TSY1V8P17 | Savska 62, 10000 Zagreb | CROATIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| AO RAIFFEISENBANK | 2534006HF1L4YF10UD91 | Joint stock company Raiffeisenbank 17, Troitskaya str., bld. 1 Moscow 129090 Russia | RUSSIAN FEDERATION | Partner Bank | Securities Partner Bank | Sub Custodian |
| Islandsbanki HF. | 549300PZMIQR79Q0T97 | Hagasmára 3, 201, Kópavogur, IS-1, Iceland | ICELAND | Partner Bank | Securities Partner Bank | Sub Custodian |

**Attachment 5:** `BofASESBSDAQ7.pdf`

# BofA Securities Europe SA

Form SBSE-A

Supplemental Filing Attachment:

Response to Question 7

November 1, 2021

# **BofA Securities Europe SA - Response to Question 7 of Form SBSE-A Briefly describe the applicant's 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.

**Attachment 6:** `BofASESBSDAQ11ScheduleBI.pdf`

# BofA Securities Europe SA

Form SBSE-A

Supplemental Filing Attachment:

**Response to Schedule B, Section I**

**November 1, 2021**

# **BofA Securities Europe SA - Response to Question 11 of Form SBSE-A Schedule B, Section I describe any other financial services industry-related, non-securities business briefly**

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.

**Attachment 7:** `BofASESBSDAQ13AScheduleBII.pdf`

# BofA Securities Europe SA

Form SBSE-A

Supplemental Filing Attachment:

Response to Schedule B, Section II

November 1, 2021

# **BofA Securities Europe SA - Response to Question 13A of Form SBSE-A with respect to the nature of the arrangement with the Firm with respect to books or records**

| Firm or Organization Name | Workday, Inc |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 6110 STONERIDGE MALL RD, Pleasanton, CA 94588 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Personnel Records, including but not limited to questionnaires or applications for employment and a listing of associated persons and their work location. |

| Firm or Organization Name | Markit North America, Inc |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 450 West 33rd Street, 5th Floor, New York, NY 10001 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Compliance Records, including but not limited to documentation of compliance with business conduct standards, disclosures, and notifications. |

| Firm or Organization Name | Micro Focus, LLC |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 4555 Great America Pkwy Santa Clara , CA , 95054-1243 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Communication Records, including but not limited to electronic communications. |

| Firm or Organization Name | Proofpoint, Inc. |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 892 Ross Drive, Sunnyvale, CA 94089 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Communication Records, including but not limited to electronic communications. |

| Firm or Organization Name | Bank of America, N.A. (including branches in London and Hong Kong) |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 100 North Tryon Street, Charlotte, NC 28255 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |

| Firm or Organization Name | Merrill Lynch Global Services Pte. Ltd |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | 2 Harbourfront Place #02-01, Singapore, 098499 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |

| Firm or Organization Name | BofA Securities Japan Co., Ltd. |
| --- | --- |
| Business Address |  |
| Effective Date | 11/1/2021 |
| Termination Date |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) | Nihonbashi 1-chome Building 1-4-1 Nihonbashi, Tokyo, Japan, 103-8230 |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A). | Financial Records, Personnel Records, Trading Records, Registration Documents, Compliance Records, Communications, and Account Records. |

## 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:** 51 RUE LA BOETIE, PARIS, I0, 75008

**Business Telephone:** 33187700000

**Contact Employee:**

- **Name:** MARK DEANGELIS

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

- **Phone:** 646-743-6928

- **Email:** mark.deangelis@bofa.com

**Chief Compliance Officer:**

- **Name:** FRANCK BESSOLES

- **Title:** Managing Director; Country Compliance and Operational Risk E

- **Phone:** 33-1-87-70-01-18

- **Email:** franck.bessoles@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:**
See Supplemental Attachment

### 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 |
| Franck Bessoles                  | Chief Compliance Officer                                     | 02/2020         | 02/2020              |  |       527665 |
| George Carl Carp                 | Director/Deputy Chief Executive Officer/Chief Financial Offi | 03/2021         | 03/2021              |  |       518519 |
| 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 |
| Susan Yung                       | Head of a Business Unit, Division or Function                | 11/2021         | 11/2021              |  |       544284 |
| Vanessa Karin Yaelle Holtz       | Director/Chief Executive Officer                             | 12/2021         | 08/2019              |  |       546868 |
| Jerome Morisseau                 | Director                                                     | 12/2021         | 12/2021              |  |       546519 |
| Catherine Pombier Bessant        | Director                                                     | 01/2022         | 01/2022              |  |       549933 |

### Schedule B: Explanations

**Description:**
See Supplemental Attachment

**Records Keeper:**

- **Name:** See Supplemental Attachment

  - **Address:** NA, NA, I0, NA

  - **Effective Date:** 10-28-2021

  - **Arrangement:** —

**Onbehalf:**

- **Name:** See Supplemental Attachment

  - **Address:** NA, NA, I0, NA

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

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** NB Holdings Corp

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

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

  - **Arrangement:** —

- **Name:** Bank of America Corporation

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

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

  - **Arrangement:** —

### Execution

**Date:** 01-26-2023

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

**Signature:** /s/ George Carp

**Printed Name:** George Carp

**Title:** Deputy CEO