# EDGAR Filing Document

**Accession Number:** 0001062577
**File Stem:** 0001062577-23-000002
**Filing Date:** 2023-3
**Character Count:** 167647
**Document Hash:** b93844a3ed62a1dd9dfd05bc34119c3f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062577-23-000002.hdr.sgml**: 20230316

**ACCESSION NUMBER**: 0001062577-23-000002

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

**PUBLIC DOCUMENT COUNT**: 9

**FILED AS OF DATE**: 20230308

**DATE AS OF CHANGE**: 20230316

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MERRILL LYNCH INTERNATIONAL
- **CENTRAL INDEX KEY:** 0001062577
- **IRS NUMBER:** 133779485
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00178
- **FILM NUMBER:** 23738196

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

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

### Attached PDF Documents

**Attachment 1:** `MLI7RforAmd7.pdf`

# Merrill Lynch International

Form SBSE-A

Supplemental Filing Attachment:

**7R Filing as of February 21, 2022**

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 1

# Instructions

READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION.

# DEFINED TERMS

Words that are underlined in this form are defined terms and have the meanings contained in the Definition of Terms section.

# GENERAL

Read the Instructions and Questions Carefully

A question that is answered incorrectly because it was misread or misinterpreted can result in severe consequences, including denial or revocation of registration. Although this applies to all questions in the application, it is particularly important to the questions in the Disciplinary Information Section.

Rely Only on Advice from NFA Staff

A question that is answered incorrectly because of advice received from a lawyer, employer, a judge or anyone else (other than a member of NFA's Registration, Compliance, Legal or Information Center ("RCLI") departments) can result in severe consequences, including denial or revocation of registration. This also applies to all questions in the form, but is particularly important regarding the Disciplinary Information Section. If the language of a question in the Disciplinary Information Section requires disclosure of a matter, a "Yes" answer to the question is required no matter what other advice has been received from anyone other than NFA's RCLI staff. Additionally, the applicant or registrant remains responsible for failures to disclose even if someone completes the form on the applicant's or registrant's behalf.

Update the Information on the Application

If information provided on the application changes or a matter that would have required disclosure on the application occurs after the application is filed, the new information must be promptly filed. APs and Principals should advise their Sponsors of the new information, and the Sponsor must file the update on their behalf. The failure to promptly update information can result in severe consequences, including denial or revocation of registration.

Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 2

With some exceptions, which are described below in the Regulatory and Financial Questions sections, if any question requires the provision of information, that information must be provided. In particular, if a question in the Disciplinary Information Section requires disclosure of a matter, the question must be answered "Yes" and additional documents must be provided even if the matter has been disclosed to another regulatory body such as FINRA, an exchange or a state regulator. Similarly, disclosure is required even if another regulatory body does NOT require disclosure of the same matter.

Call NFA with Questions

If there is any question about whether particular information must be provided, whether a particular matter must be disclosed or whether a particular question requires a "Yes" answer, call the NFA Information Center at (312) 781-1410. Representatives are available from 8:00 a.m. to 5:00 p.m., Central Time, Monday through Friday. If the advice of NFA staff is sought, a written record containing the date of the conversation, the name of the NFA staff person giving the advice and a description of the advice should be made during the conversation and kept in the event an issue concerning disclosure of the matter arises later.

# DISCIPLINARY INFORMATION SECTION

Criminal Disclosures

Some common mistakes in answering the criminal disclosure questions involve expungements, diversion programs and similar processes. The Commodity Futures Trading Commission requires a "Yes" answer even if the matter has been expunged or the records sealed, there was no adjudication or finding of guilt, the guilty plea was vacated or set aside or the matter was dismissed upon completion of the diversion program.

Another common error regarding criminal matters concerns matters that do not involve the futures industry. All criminal matters must be disclosed, even if a matter is unrelated to the futures industry, unless the case was decided in a juvenile court or under a Youth Offender law.

Regulatory Disclosures

Regulatory actions taken by the Commodity Futures Trading Commission, NFA or domestic futures exchanges do not need to be disclosed since NFA is already aware of them once they are entered into NFA's BASIC system.

Financial Disclosures

It is not necessary to disclose arbitration or CFTC reparations matters unless the applicant or registrant has failed to pay an award issued in a futures-related arbitration or an order entered in a

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 3

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

reparations matter.

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

# ADDITIONAL DOCUMENTS

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

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

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

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 4

# Definition of Terms

(The following terms are defined solely for the purpose of using NFA's Online Registration System.)

10% OR MORE INTEREST: direct or indirect ownership of 10% or more of an applicant's or registrant's stock; entitlement to vote or empowered to sell 10% or more of an applicant's or registrant's voting securities; contribution of 10% or more of an applicant's or registrant's capital; or entitlement to 10% or more of an applicant's or registrant's net profits.

ADJUDICATION: in a criminal case, a determination by the court that the defendant is guilty or not guilty.

ADVERSARY ACTION: a lawsuit arising in or related to a bankruptcy case commenced by a creditor or bankruptcy trustee by filing a complaint with the bankruptcy court.

ALIAS: another name utilized by an individual or previously used by an entity.

CHARGE: a formal complaint, information, indictment or equivalent instrument containing an accusation of a crime.

DBA: abbreviation for Doing Business As. The firm is doing its futures, retail off-exchange forex or swaps business by this name.

# DESIGNATED SUPERVISOR:

Solely for the purpose of determining whether the Branch Manager Examination (Series 30) is required, Designated Supervisor means a person who is registered with FINRA (formerly known as NASD) as a General Securities Representative and has been designated to act as the supervisor of an office that is not an Office of Supervisory Jurisdiction ("non-OSJ"), provided that:

- either the futures activity conducted in the non-OSJ that is subject to the Designated Supervisor's supervision is limited to activity not requiring the Series 3 Examination and both the Designated Supervisor and the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports have otherwise satisfied NFA's Proficiency Requirements appropriate to their supervisory activities; or
- the activity that is conducted in the non-OSJ that requires the Series 3 Examination is supervised by the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports and both the Designated Supervisor and Branch Office Manager have passed the Series 3 Examination.

ENJOINED: subject to an injunction.

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 5

ENTITY: any person other than an individual.

FELONY: any crime classified as a felony and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of more than one year. The term also includes a general court martial.

FINANCIAL SERVICES INDUSTRY: the commodities, securities, accounting, banking, finance, insurance, law or real estate industries.

FOUND: subject to a determination that conduct or a rule violation has occurred. The term applies to dispositions of any type, including but not limited to consent decrees or settlements in which the findings are neither admitted nor denied or in which the findings are for settlement or record purposes only.

# INTERNAL REVENUE CODE:

Section 7203: Willful Failure to File Return, Supply Information or Pay Tax

Section 7204: Fraudulent Statement or Failure to Make Statement

Section 7205: Fraudulent Withholding Exemption Certificate or Failure to Supply Information

Section 7207: Fraudulent Returns, Statements or Other Documents

# INVESTMENT RELATED STATUTES:

The Commodity Exchange Act
The Securities Act of 1933
The Securities Exchange Act of 1934
The Public Utility Holding Company Act of 1935
The Trust Indenture Act of 1939
The Investment Advisers Act of 1940
The Investment Company Act of 1940
The Securities Investors Protection Act of 1970
The Foreign Corrupt Practices Act of 1977
Chapter 96 of Title 18 of the United States Code
Any similar statute of a State or foreign jurisdiction
Any rule, regulation or order under any such statutes; and
The rules of the Municipal Securities Rulemaking Board

MISDEMEANOR: any crime classified as a misdemeanor and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of at least six days but not more than one year. By way of example, an offense for which the maximum period of imprisonment is 60 days would be considered a misdemeanor. The term also includes a special court martial.

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 6

OTHER NAME: For firms or sole proprietors, any other name that the applicant uses or has used in the past for its futures, retail off-exchange forex or swaps business but not the name of any other legal entity that the applicant has an affiliation or association with (see DBA). For individuals, this is any name the person is or has been known by. For example, a maiden name, an alias name that you use or are known by, or a previous name if you have changed your legal name.

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

PRINCIPAL: an individual who is:

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

an individual who directly or indirectly, through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of \(10\%\) or more of the outstanding shares of any class of a registrant's stock; or
- is entitled to vote \(10\%\) or more of any class of a registrant's voting securities; or
- has the power to sell or direct the sale of \(10\%\) or more of any class of a registrant's voting securities; or
has contributed \(10\%\) or more of a registrant's capital; or
- is entitled to receive \(10\%\) or more of a registrant's net profits; or
- has the power to exercise a controlling influence over a registrant's activities that are subject to regulation by the Commission; or

an entity that:

is a general partner of a registrant; or
- is the direct owner of \(10\%\) or more of any class of a registrant's securities; or
- has directly contributed \(10\%\) or more of a registrant's capital unless such capital contribution consists of subordinated debt contributed by:

- an unaffiliated bank insured by the Federal Deposit Insurance Corporation; or

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 7

- a United States branch or agency of an unaffiliated foreign bank that is licensed under the laws of the United States and regulated, supervised and examined by United States government authorities having regulatory responsibility for such financial institutions; or
- an insurance company subject to regulation by any State.

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

# UNITED STATES CRIMINAL CODE:

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

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 8

# Privacy Act and Paperwork Reduction Act Notice

The information in Forms 7-R, 7-W, 8-R and 8-T and on the fingerprint card is being collected pursuant to authority granted in Sections 2c, 4f, 4k, 4n, 4s, 8a and 19 of the Commodity Exchange Act [7 U.S.C. §§ 6f, 6k, 6n, 6s, 12a and 23]. Under Section 2c, it is unlawful for anyone to engage in off-exchange foreign currency futures transactions or off-exchange foreign currency leveraged, margined or financed transactions with persons who are not eligible contract participants without registration, or exemption from registration, as a retail foreign exchange dealer, futures commission merchant, introducing broker, commodity pool operator or commodity trading advisor, as appropriate. Under Section 4d of the Commodity Exchange Act [7 U.S.C. §6d], it is unlawful for anyone to act as a futures commission merchant or introducing broker without being registered in that capacity under the Act. Under Section 4m of the Commodity Exchange Act [7 U.S.C. §6m], it is unlawful for a commodity trading advisor or commodity pool operator to make use of the mails or any means or instrumentality of interstate commerce in connection with his business as a commodity trading advisor or commodity pool operator without being registered in the appropriate capacity under the Act, except that a commodity trading advisor who, during the course of the preceding 12 months, has not furnished commodity trading advice to more than 15 persons and does not hold himself out generally to the public as a commodity trading advisor, need not register. Under Section 4s of the Commodity Exchange Act [7 U.S.C. §6s], it is unlawful for anyone to act as a swap dealer or major swap participant without being registered in that capacity under the Act. Under Section 19 of the Commodity Exchange Act [7 U.S.C. §23] and Section 31.5 of the CFTC's regulations, it is unlawful for anyone to act as a leverage transaction merchant without being registered in that capacity under the Act.

The information requested in Form 7-R is designed to assist NFA and the CFTC, as appropriate, in determining whether the application for registration should be granted or denied and to maintain the accuracy of registration files. The information in Form 7-W is designed to assist NFA and the CFTC in determining whether it would be contrary to the requirements of the Commodity Exchange Act, or any rule, regulation or order thereunder, or the public interest to permit withdrawal from registration.

The information requested in Form 8-R and on the fingerprint card will be used by the CFTC or NFA, as appropriate, as a basis for initiating an inquiry into the individual's fitness to be an associated person, floor broker or floor trader or to be a principal of a futures commission merchant, swap dealer, major swap participant, retail foreign exchange dealer, introducing broker, commodity trading advisor, commodity pool operator, leverage transaction merchant or non-natural person floor trader. Portions of the information requested in Form 8-R will be used by the CFTC and, in appropriate cases, by NFA, to confirm the registration of certain associated persons. The information requested in Form 8-T will be used by the CFTC, and, in appropriate cases, by NFA, to record the registration status of the individual and, in appropriate cases, as a basis for further inquiry into the individual's fitness to remain in business subject to the CFTC's jurisdiction.

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 9

With the exception of the social security number, all information in Forms 8-R and 8-T must be furnished. Disclosure of the social security number is voluntary. Disclosure of the Federal employer identification number is voluntary. The social security number and the Federal employer identification number are sought pursuant to the Debt Collection Improvement Act of 1996. Under the Debt Collection Improvement Act, a social security number or a taxpayer identifying number furnished to the CFTC as part of the registration process can be used for purposes of collecting and reporting on any debt owed to the U.S. Government, including civil monetary penalties. The furnishing of a social security number or Federal employer identification number, however, assists the CFTC and NFA in identifying individuals and firms and therefore expedites the processing of those forms.

The failure by an applicant, registrant or principal to timely file a properly completed Form 7-R and all other related required filings may result in the denial of an application for registration or withdrawal thereof or, in the case of an annual records maintenance fee, treating the registrant as having petitioned for withdrawal. Failure by an applicant, registrant or principal to timely file or cause to be filed a properly completed Form 8-R or 8-T, any other required related filings, or a fingerprint card may result in the lapse, denial, suspension or revocation of registration, withdrawal of the application or other enforcement or disciplinary action by the CFTC or NFA.

With the exception of the fingerprint card, any information contained in the Personal Information Section and any information contained in Matter Information pages related to the Disciplinary Information Sections on Form 8-R and on Form 8-T or Item 7 on Form 8-W, the Forms 7-R, 7-W, 8-R and 8-T are considered by the CFTC to be public records and will be available for inspection by any person. Copies will be maintained by National Futures Association, Registration Department, Suite 1800, 300 S. Riverside Plaza, Chicago, IL 60606-6615. Further, the CFTC or NFA may disclose the fingerprint card and any other information described above to third parties pursuant to routine uses which the CFTC has published in the Federal Register or as otherwise authorized under the Privacy Act, [5 U.S.C. §552a], and the Commodity Exchange Act. Disclosure of such information may be made by the CFTC as follows: (1) in connection with administrative proceedings or matters in litigation; (2) in connection with investigations; (3) where the information is furnished to regulatory, self-regulatory and law enforcement or other governmental agencies to assist them in meeting responsibilities assigned to them by law or made available to any member of Congress who is acting in his or her capacity as a member of Congress; (4) where disclosure is required under the Freedom of Information Act [5 U.S.C. §552]; (5) in connection with an employer's hiring or retention of an employee; (6) in connection with the verification of information submitted for sponsorship purposes; (7) in other circumstances in which the withholding of such information appears unwarranted; and (8) in connection with legally required or authorized reports. Disclosure may be made by NFA in accordance with rules approved by the CFTC.

If an individual believes that the placing in the CFTC's or NFA's public files of any of the information contained in the Personal Information Section or in Matter Information pages related

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 10

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

to Disciplinary Information on Form 8-R and on Form 8-T or Item 7 on Form 8-W, or on the fingerprint card would constitute an unwarranted invasion of his personal privacy, the individual may petition the CFTC, pursuant to 17 CFR 145.9, to treat such information as confidential in response to requests under the Freedom of Information Act (FOIA) [5 U.S.C. §552]. The CFTC will make no determination as to confidential treatment of information submitted unless and until the information is the subject of an FOIA request. The filing of a petition for confidential treatment, however, does not guarantee that the information will be treated confidentially in response to an FOIA request.

Forms which have not been prepared and executed in compliance with applicable requirements may not be acceptable for filing. Acceptance of this form shall not constitute any finding that the information is true, current or complete. Misstatements or omissions of fact may constitute federal criminal violations [7 U.S.C. §13 and 18 U.S.C. §1001] or grounds for disqualification from registration.

This notice is provided in accordance with the requirements of the Privacy Act [5 U.S.C. §552a(e)(3)] and summarizes some of an individual's rights under the Privacy Act [5 U.S.C. §552a] and the Freedom of Information Act [5 U.S.C. §552]. Individuals desiring further information should consult the CFTC's regulations under the Privacy Act, 17 CFR Part 146, and under the Freedom of Information Act, 17 CFR Part 145, and the CFTC's annual notice, published in the Federal Register, pursuant to the Privacy Act, of the existence and character of each system of records maintained by the CFTC.

You are not required to provide the information requested on a form subject to the Paperwork Reduction Act unless the form displays a valid OMB Control Number.

The time needed to complete and file Form 7-R, Form 3-R, Form 7-W, Form 8-R and Form 8-T and Form 8-W may vary depending upon individual circumstances. The estimated average times are:

Form 7-R

FCM 0.5 hours

SD 1.0 hours

MSP 1.0 hours

RFED 0.5 hours

IB 0.4 hours

CPO 0.4 hours

CTA 0.4 hours

FT 0.5 hours

Form 3-R 0.1 hours

Form 7-W 0.1 hours

Form 8-R 0.8 hours

Form 8-T 0.2 hours

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 11

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Form 8-W 0.1 hours.

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 12

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Registration Categories

NFA MEMBER

SWAP DEALER

## Membership Information

Not applicable.

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 13

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Business Information

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

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 14

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

# Location of Business Records

Business Records Address

2 KING EDWARD STREET

LONDON EC1A 1HQ

UNITED KINGDOM

U.S. Address for Production of Business Records

The office of NFA located in New York, NY.

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 15

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Holding Company Information

Name: ML UK CAPITAL HOLDINGS

10% or more interest? YES

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 16

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

# Regulator Information

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

UNITED KINGDOM: FINANCIAL SERVICES AUTHORITY
NETHERLANDS: THE NETHERLANDS AUTHORITY FOR THE FINANCIAL MARKETS (AFM)
DUBAI: DUBAI FINANCIAL SERVICES AUTHORITY (DFSA)
ITALY: COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA (CONSOB)
PORTUGAL: BANK OF PORTUGAL
SWITZERLAND: SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA)

# U.S. Regulator(s)

None.

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 17

# Disciplinary Information

# Criminal Disclosures

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

THE FIRM OR SOLE PROPRIETOR MUST ANSWER "YES" TO THE QUESTIONS ON THIS PAGE EVEN IF:

ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
- THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR
A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR
THE RECORD WAS EXPUNGED OR SEALED; OR
A PARDON WAS GRANTED.

THE FIRM OR SOLE PROPRIETOR MAY ANSWER "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW.

A. Has the firm or sole proprietor ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any domestic, foreign or military court? NO

B. Has the firm or sole proprietor ever pled guilty to or been convicted or found guilty of any misdemeanor in any domestic, foreign or military court which involves: NO

- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986; or
- violation of sections 152, 1341, 1342 or 1343 or chapters 25, 47, 95 or 96 of the United States Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 18

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

securities?

C. Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions? NO

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

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 19

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Regulatory Disclosures

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

D. In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been permanently or temporarily enjoined after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:

NO

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

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

YES

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

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

NO

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

NO

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 20

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

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

I. Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions? NO

For any "Yes" answer to the questions above, has the firm or sole proprietor previously provided NFA or the CFTC all supplemental documentation for all matters requiring a "Yes" answer? NO

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 21

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Financial Disclosures

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

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

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

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 22

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

## Contact Information

Registration Contact

JANE MICHAEL

VP/SENIOR REGISTRATION MANAGER

4802 DEER LAKE DR E

FL9-801-02-01

JACKSONVILLE, FL 32246

UNITED STATES

Phone: 904-218-4044

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

Membership Contact

GENE PORTER

DIRECTOR/REGISTRATION EXECUTIVE

4802 DEER LAKE DR E

FL9-801-02-01

JACKSONVILLE, FL 32246

UNITED STATES

Phone: 904-218-4124

Fax: 704-409-1304

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

Accounting Contact

KEITH PEARSON

MANAGING DIRECTOR/SENIOR FINANCE MANAGER

WARWICK COURT

2 KING EDWARD STREET

LONDON EC1A 1HQ

UNITED KINGDOM

Phone: +44-20-79960686

Fax: +44-20-79959639

E-mail: KEITH.PEARSON@BAML.COM

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 23

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

# Arbitration Contact

SAJID HUSSEIN

ASSOCIATE GENERAL COUNSEL & MD

2 KING EDWARD STREET

LONDON EC1A 1HQ

UNITED KINGDOM

Phone: +44-207-996-1165

Fax: +44-207-995-4115

E-mail: SAJID.HUSSEIN@BAML.COM

# Compliance Contact

KATHLEEN CAWLEY

DIRECTOR/GBAM COMPLIANCE EXECUTIVE

ONE BRYANT PARK

NY1-100-17-01

NEW YORK, NY 10036

UNITED STATES

Phone: 646-855-2264

Fax: 212-292-8944

E-mail: KATHY.CAWLEY@BANKOFAMERICA.COM

# Enforcement/Compliance Communication Contact

KATHLEEN CAWLEY

DIRECTOR/GBAM COMPLIANCE EXECUTIVE

ONE BRYANT PARK

NY1-100-17-01

NEW YORK, NY 10036

UNITED STATES

Phone: 646-855-2264

Fax: 212-292-8944

E-mail: KATHY.CAWLEY@BANKOFAMERICA.COM

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 24

# 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 December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 25

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

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

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

agreement that, if the applicant is a foreign applicant:

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

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

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

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

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

# National Futures Association

Firm Application (7R) Filed December 19, 2012

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

Page 26

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.

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 27

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

# Confidential Matter Information

# Regulatory Disclosures

Matter Name FINANCIAL SERVICES AUTHORITY; AUGUST 4, 2006

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

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

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

# National Futures Association

Firm Application (7R) Filed December 19, 2012

Page 28

OMB Number 3038-0072

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Submitted By WEEMST10 TERRY WEEMS

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

# Business Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Name MERRILL LYNCH INTERNATIONAL
Form of Organization OTHER
Country UNITED KINGDOM

Federal EIN 133779482

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

Phone Number +44 20 7628 1000
Fax Number Not provided

Email Not provided

Website/URL Not provided

CRD/IARD ID 162416
OTHER
F

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

Page 1 of 1

# Disciplinary Information - Criminal Disclosures

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

THE QUESTIONS ON THIS PAGE MUST BE ANSWERED "YES" EVEN IF:

- ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
- THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR
- A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR
- THE RECORD WAS EXPUNGED OR SEALED; OR
- A PARDON WAS GRANTED.

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

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

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

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

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

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

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

Page 1 of 2

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

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Question A

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

No

Question B

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

- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering, or misappropriation of funds, securities or property; or
- violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986; or
- violation of sections 152, 1341, 1342 or 1343 or chapters 25, 47, 95 or 96 of the U.S. Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or securities?

No

Question C

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

No

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

Page 2 of 2

# Disciplinary Information - Financial Disclosures

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

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

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

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

- the allegations; and
- the final disposition.

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

Question J

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

No

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

Page 1 of 1

# Disciplinary Information - Regulatory Disclosures

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

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

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

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

- the allegations; and
- the final disposition.

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

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

Page 1 of 3

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

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Question D

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

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

No

Question E

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

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

Yes

Question F

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

No

Question G

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

No

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

Page 2 of 3

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

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL---

# Question H

Are any of the orders or other agreements described in Question G currently in effect against the firm?

No

# Question I

Is the firm a party to any action, the resolution of which could result in a 'Yes' answer to the above questions?

No

---

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

Page 3 of 3

# Enforcement/Compliance Communication Contact Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

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

Page 1 of 1

[LOGO]

# Entity Profile Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Current Status Information

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

Status History Information

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

Outstanding Requirements

Annual Due Date: 5/1/2022

4S SUBMISSIONS IN REVIEW

ANNUAL MEMBERSHIP DUES INSUFFICIENT FOR 2/1/2022

Disciplined Employee Summary

Page 1 of 1

# Exempt Foreign Firm Contact Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Exempt Foreign Firm Contact Address

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

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

Page 1 of 1

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

## Location of Business Records

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

---

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

Page 1 of 1

# Membership Contact Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Membership Contact

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

Accounting Contact

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

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

Page 1 of 3

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

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL---

# Arbitration Contact

| First Name | BURKE |
| --- | --- |
| Last Name | SALLY |
| Title | ASSOCIATE GENERAL COUNSEL & MD |
| Street Address 1 | 2 KING EDWARD STREET |
| Street Address 2 | MAIL CD: 473-810-03-03 |
| City | LONDON |
| Zip/Postal Code | EC1A 1HQ |
| Country | UNITED KINGDOM |
| Phone | +44.20.7995.1875 |
| Fax | 704-409-0799 |
| Email | SALLY.BURKE@BOFA.COM |

# Compliance Contact

| First Name | DAN DAN |
| --- | --- |
| Last Name | LIU |
| Title | 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 0289121 MERRILL LYNCH INTERNATIONAL---

# Chief Compliance Officer Contact

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

---

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

Page 3 of 3

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

## Membership Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

### U.S. Regulator Information

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

---

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

Page 1 of 1

# Non-U.S. Regulator Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

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 0289121 MERRILL LYNCH INTERNATIONAL

Individual Information

| NFA ID | 0454869 |
| --- | --- |
| Name | BUTLER, MARTIN |
| Title(s) | DIRECTOR CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-05-2013 |
| NFA ID | 0403734 |
| Name | CHAN, LAURIE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-09-2020 |
| NFA ID | 0470677 |
| Name | DE WECK, PIERRE JACQUES PHILIPPE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-02-2018 |
| NFA ID | 0517391 |
| Name | DIAZ, PATRICIO JOSE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-09-2019 |
| NFA ID | 0533948 |
| Name | HARRISON, MARTIN |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |

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

Page 1 of 3

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

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL---

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

---

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

Page 2 of 3

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

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL---

| 10% or More Interest | No |
| --- | --- |
| Status | APPROVED |
| Effective Date | 08-31-2016 |
| NFA ID | 0532278 |
| Name | SLOWEY, MARTINA |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-12-2020 |
| NFA ID | 0507499 |
| Name | THORNE, ROSEMARY PRUDENCE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-29-2017 |
| NFA ID | 0522307 |
| Name | WHITE, LESLEY MARGARET |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 06-03-2019 |
| NFA ID | 0496348 |
| Name | WOODS, THOMAS DUNNE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 03-27-2020 |

# Holding Company Information

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

---

---

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

Page 3 of 3

# Registration Contact Information

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

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

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

Page 1 of 1

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

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

Viewed on October 21, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

Office of NFA located in New York, NY

---

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

Page 1 of 1

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

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

◀ Back to Summary

✏️ Amend

Disclosure Questions

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

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

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

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

CASE INFORMATION

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

Comments

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

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

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

Page 2 of 2

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

# Supporting Documentation

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

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

◀ Back to Summary

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

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

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

◀ Back to Summary

✏️ Amend

Disclosure Questions

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

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

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

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

CASE INFORMATION

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

Comments

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

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

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

Page 2 of 2

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

# Supporting Documentation

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

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

◀ Back to Summary

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

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

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

◀ Back to Summary

✏️ Amend

Disclosure Questions

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

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

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

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

CASE INFORMATION

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

Comments

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

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

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

Page 2 of 2

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

# Supporting Documentation

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

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

◀ Back to Summary

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

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

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

◀ Back to Summary

✏️ Amend

Disclosure Questions

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

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

☐ D ☐ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

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

CASE INFORMATION

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

Comments

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

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

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

Page 2 of 2

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

# Supporting Documentation

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

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

◀ Back to Summary

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

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

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

◀ Back to Summary

✏️ Amend

Disclosure Questions

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

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

☐ D ☐ E ☐ F ☐ G ☐ H ☑ I

Regulatory Case Information

REGULATORY INFORMATION

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

CASE INFORMATION

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

Comments

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

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

Page 2 of 2

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

PERIOD CLOSED JULY 2020.

:

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

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

◀ Back to Summary

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

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

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

◀ Back to Summary

✏️ Amend

Disclosure Questions

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

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

☐ D ☑ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

❓ Regulatory/Civil Action initiated by:

NON-U.S. REGULATOR Name of Regulatory Body: HELLENIC CAPITAL MARKET COMMISSION

CASE INFORMATION

❓ Case Number: DECISION NO. 6/897/20.11.2020

❓ Case Status: FINAL

❓ Date Resolved:

APRIL 2021

❓ Were any of the following sanctions imposed?:

Other: MONETARY FINE

Comments

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

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

Page 2 of 2

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

# Supporting Documentation

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

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

Show All entries

Search:

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

Back to Summary

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

Page 1 of 2

Online Registration System

# Disciplinary Information - Firm Regulatory Disclosure Matter Page

NFA ID 0289121 - MERRILL LYNCH INTERNATIONAL

All the DMP section data has been loaded.

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

◀ Back to Summary

✏️ Amend

Disclosure Questions

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

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

☐ D ☑ E ☐ F ☐ G ☐ H ☐ I

Regulatory Case Information

REGULATORY INFORMATION

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

CASE INFORMATION

❓ Case Number: DECISION NO. 17/555

❓ Case Status: FINAL

❓ Date Resolved:
APRIL 2021

❓ Were any of the following sanctions imposed?:
Other: MONETARY FINE

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

Page 2 of 2

# Comments

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

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

# Supporting Documentation

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

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

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

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

# Merrill Lynch International

7R updated Principals as of December 27, 2021

# Principal Information

Viewed on December 23, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

# Individual Information

| NFA ID | 0454869 |
| --- | --- |
| Name | BUTLER, MARTIN |
| Title(s) | DIRECTOR CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-05-2013 |
| NFA ID | 0403734 |
| Name | CHAN, LAURIE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-09-2020 |
| NFA ID | 0470677 |
| Name | DE WECK, PIERRE JACQUES PHILIPPE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-02-2018 |
| NFA ID | 0517391 |
| Name | DIAZ, PATRICIO JOSE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-09-2019 |
| NFA ID | 0533948 |
| Name | HARRISON, MARTIN |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |

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

Page 1 of 3

Viewed on December 23, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL---

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

---

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

Page 2 of 3

Viewed on December 23, 2021

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL---

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

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

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

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

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

#### **Holding Company Information**

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

---

---

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

Page 3 of 3

# **Merrill Lynch International**

7R updated Principals as of February 1, 2022

# Principal Information

Viewed on February 01, 2022

NFA ID 0289121 MERRILL LYNCH INTERNATIONAL

# Individual Information

| NFA ID | 0454869 |
| --- | --- |
| Name | BUTLER, MARTIN |
| Title(s) | DIRECTOR CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 02-05-2013 |
| NFA ID | 0403734 |
| Name | CHAN, LAURIE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-09-2020 |
| NFA ID | 0470677 |
| Name | DE WECK, PIERRE JACQUES PHILIPPE |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 07-02-2018 |
| NFA ID | 0517391 |
| Name | DIAZ, PATRICIO JOSE |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-09-2019 |
| NFA ID | 0533948 |
| Name | HARRISON, MARTIN |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |

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

Page 1 of 3

**Attachment 2:** `MLISBSDAAmd7SmryOfChanges.pdf`

# Merrill Lynch International

Form SBSE-A

**Amendment - SBSE-A/A**

**February 21, 2023**

The following changes were made in this Amendment:

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

WARSAW STOCK EXCHANGE - removed from Execute or Trade section

STATE STREET BANK AND TRUST COMPANY - updated name from STATE STREET CORPORATION in Custody, Clear, or Settle section

HSBC BANK PLC - removed from Custody, Clear, or Settle section

**Attachment 3:** `MLISBSDACombined13BAmd7.pdf`

# Merrill Lynch International

Form SBSE-A

Supplemental Filing Attachment:

**Amendment to Schedule B, Section II**

**Item 13B**

**February 21, 2023**

# **Merrill Lynch International - Response to Item 13B of Form SBSE-A with respect to arrangements with others who Execute or Trade**

| Venue Legal Entity Name | Business Address | LEI |  |
| --- | --- | --- | --- |
| AQUIS EXCHANGE PLC | 77 Cornhill, LONDON, UNITED KINGDOM, EC3V 3QQ | 213800IXJSF5E1SIW150 |  |
| AUREL BGC | BGC AUREL ETC POLLAK 15 17, PARIS, FRANCE, 75002 | 5RJTDGZG4559ESIYLD31 |  |
| BGC DERIVATIVE MARKETS, L.P. | C/O THE CORPORATION TRUST COMPANY, CORPORATION TRUST CENTER 1209 ORANGE ST, 19801, WILMINGTON, US \| United States of America | 549300RKB6B4M8CD2W04 |  |
| BLOOMBERG SEF LLC | 731 LEXINGTON AVENUE, NEW YORK, UNITED STATES, 10022 | 5493003IUYOH354SNS58 |  |
| 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 | 549300P0PVQNO43T7K36 |  |
| BLOOMBERG TRADEBOOK SINGAPORE PTE LTD | 23 Church Street, SINGAPORE, SINGAPORE, 49481 | 254900HSS82AHMTPAD95 |  |
| BLOOMBERG TRADING FACILITY B.V. | Stadhouderskade 14, Amsterdam, NETHERLANDS, 1054 ES | 254900QBKK4WBS03GE51 |  |
| BLOOMBERG TRADING FACILITY LIMITED | 3 Queen Victoria Street, LONDON, UNITED KINGDOM, EC4N 4TQ | 549300ROEJDDAXM6LU05 |  |
| BOLSAS Y MERCADOS ESPAÑOLES RENTA FIJA SA. | PLAZA LEALTAD 1, MADRID, SPAIN, 28014 | 95980096HCV0D0TYCR12 |  |
| BORSE BERLIN AG | Fasanenstr. 85, Berlin, GERMANY, 10623 | 391200I7OS301UELZA68 |  |
| BROKERTEC EUROPE LIMITED | LONDON FRUIT AND WOOL EXCHANGE, 1 DUVAL SQUARE, E1 6PW, London | 2138002G1GKI3V4UG48 |  |
| CBOE EUROPE LIMITED | The Monument Building, LONDON, UNITED KINGDOM, EC3R 8AF | 254900ERRP5KE7UZH711 |  |
| CBOE TRADING, INC. | 5th Floor, the Monument Building, London, EC3R8AF |  |  |
| DEUTSCHE BORSE AG | Mergenthalerallee 61, Eschborn, GERMANY, 65760 | 529900G3SW56SHYNPR95 |  |
| DIGITAL VEGA FX LTD | 9th Floor, LONDON, UNITED KINGDOM, EC2V 6DN | 213800GQ81SB275CH294 |  |
| EBS SERVICE COMPANY LIMITED | LAVATERSTRASSE 40, 8002, ZURICH, CH-ZH, CH \| Switzerland, Swiss Confederation | 213800Y1KZLBMHGMTJ05 |  |
| EUROMTS LTD | 7TH FLOOR, 110 CANNON STREET, LONDON, EC4N 6EU, GB | 2138000ANOWGT2KW8063 |  |
| EURONEXT AMSTERDAM N.V. | Beursplein 5, Amsterdam, NETHERLANDS, 1012 JW | 724500V6UOK6ZKE2L78 |  |
| EURONEXT BRUSSELS SA | Rue du Marquis 1, Internal Postal Box 1, Bruxelles, BELGIUM, 1000 | 5493007YLUF2KAS0TM17 |  |
| EURONEXT LISBON - SOCIEDADE GESTORA DE MERCADOS REGULAMENTADOS, S.A. | AVENIDA DA LIBERDADE, 196 7o, LISBOA, PORTUGAL, 1250-147 | 529900K0OK4J5J7A5V66 |  |
| EURONEXT PARIS SA | PARIBOURSE SBF SOC BOURSES FRANCAISES, COURBEVOIE, FRANCE, 92400 | 969500HMVS20TCV65D58 |  |
| GLMX TECHNOLOGIES LLC | 330 7th Ave FL 17, New York, UNITED STATES, 100015246 | 254900ASG2SHGJ6G6W93 |  |
| HUDSON RIVER TRADING EUROPE LTD. | 2nd Floor, 12 Steward Street, E1 6FQ, London, United Kingdom | 213800QDJQNB4546YV16 |  |
| INTERCONTINENTAL EXCHANGE, INC. | 5660 New Northside Dr 3, Atlanta, UNITED STATES, 303285800 | 5493000F4ZO33MV32P92 |  |
| ISWAP Euro B.V. | Vijzelstraat 68 Unit 109, Amsterdam, 1017 HL, Netherlands | 2138002GMHG92WXVFB36 |  |
| Ledgeredge Ltd | 64 Nile Street, N1 7SR, London, United Kingdom | 984500AA73C11BD44B21 |  |
| LMAX LTD | Monsoon Building, LONDON, UNITED KINGDOM, W11 4AN | 21380034TU2TIBCNZ578 |  |
| LONDON STOCK EXCHANGE GROUP PLC | 10 PATERNOSTER SQUARE, EC4M 7LS, LONDON, GB \| United Kingdom | 213800QAUUUP6I445N30 |  |
| LONDON STOCK EXCHANGE PLC | The London Stock Exchange, LONDON, UNITED KINGDOM, EC4M 7LS | 213800D1EI489WTWWD28 |  |
| MARKETAXESS NL B.V. | Herengracht 280, Amsterdam, NETHERLANDS, 1016 BX | 5299000UUYW66L5LT560 |  |
| MARKETAXESS SINGAPORE PTE. LIMITED | 10 Collyer Quay, SINGAPORE, SINGAPORE, 49315 | 529900GFVFMKAFCMT075 |  |
| MTS SPA | VIA TOMACELLI 146, 00186, ROME, Italy | 213800ZMKPUV1VKLCT69 |  |
| OTCX TRADING LIMITED | Albert Buildings, LONDON, UNITED KINGDOM, EC4N 4SA | (blank) |  |
| SIX SWISS EXCHANGE AG | Hardturmstrasse 201, ZÜRICH, SWITZERLAND, 8005 | 529900HQ12A6FGDMWA17 |  |
| TFS SA | Rue de Langallerie 11, Compagnie Financiere Tradition SA, 1003, Lausanne, Switzerland | 506700XNPBE4M72EJU82 |  |
| THE LONDON METAL EXCHANGE | 10 Finsbury Square, LONDON, UNITED KINGDOM, EC2A 1AJ | 213800NB8G5VRT1DXC91 |  |
| THE TEL-AVIV STOCK EXCHANGE LTD | 2 AhuzaBayit, Tel Aviv - Jaffa, 6525216, Israel |  |  |

| TRADEWEB GLOBAL LLC | 1177 Ave of The Americas, New York, UNITED STATES, 100362714 | 5493009DYKOCXWBRC524 |
| --- | --- | --- |
| TRADEWEB MARKETS LLC | 2200 PLAZA FIVE, Jersey City, UNITED STATES, 73114006 | 5493000G5QHJUY9ZWQ91 |
| TRAYPORT LTD | 7Th Floor, LONDON, UNITED KINGDOM, EC2A 2AP | 213800PICGAHUDMI1246 |
| TSAF OTC S.A. | 9 PL VENDOME, 75001, PARIS 1, FR \| France, French Republic | 969500V058ZSY03FNX80 |
| TURQUOISE GLOBAL HOLDINGS EUROPE B.V. | NIEUWEZIJDS VOORBURGWAL 162, SUITE 108, 1012 SJ, AMSTERDAM, NL \| Netherlands | 213800ZA8TWTNVG43376 |
| TURQUOISE GLOBAL HOLDINGS LTD | The London Stock Exchange, LONDON, UNITED KINGDOM, EC4M 7LS | 2138006SKBMJJUE2HV03 |
| VIRTU ITG EUROPE LIMITED | Whitaker Court, Whitaker Square, Sir John Rogerson's Quay, DUBLIN 2, D02 W529 | 213800EEC95PRUCEUP63 |
| WEMATCH.LIVE R&D LTD | 121 Begin Menachem Rd, TEL AVIV-JAFFA, ISRAEL, 6701203 | 894500EG497MGE7BSI77 |
| YIELDBROKER PTY LIMITED | L 6 14 MARTIN PLACE, SYDNEY, AUSTRALIA, 2000 | 549300QRJM24CLE17N18 |

# **Merrill Lynch International - Response to Item 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 |
| --- | --- | --- | --- | --- | --- | --- |
| AO Citibank | CHSQDSVI1UI96Y2SW097 | 8-10, bld.1, Gasheka street, Moscow, 125047, Russia | RUSSIAN FEDERATION | Partner Bank | Securities Partner Bank | Sub Custodian |
| AO RAIFFEISENBANK | 2534006HF1L4YF10UD91 | Joint stock company Raiffeisenbank 17, Troitskaya str., bld. 1 Moscow 129090 Russia | Kazakhstan | 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 |
| BANK POLSKA KASA OPIEKI SA | 5493000LKS7B3UTF7H35 | Żwirki i Wigury 31, 02-091 Warsaw, Poland | POLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| 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 |
| 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 |
| 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 |
| 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 | ROMUWSFPU8MPRO8K5P83 | Les Grands Moulin de Pantin, 9 Rue du Debarcadere 93500 Pantin, France | FRANCE/Portugal | 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 |

| CASSA DI COMPENSAZIONE E GARANZIA SPA | 8156006407E264D2C725 | VIA TOMACELLI, 146, 00186, Roma, Italy | ITALY | Financial Market Utility | Central Counterparty (CCP) | Cash Equity and Derivatives |
| --- | --- | --- | --- | --- | --- | --- |
| Cboe Clear Europe | 724500937F740MHCX307 | Strawinskylaan 1847, Tower I, Level 3, 1077XX, Amsterdam, NL, Netherlands | NETHERLANDS | Financial Market Utility | Central Counterparty (CCP) | Equity |
| CITIBANK ANONIM SIRKETI | CWZ8NZDH5SKY12Q4US31 | Tekfen Tower, Eski Buyukdere Caddesi 209 Kat 2, Postal Code 34394 Levent, Istanbul - Turkey | TURKEY | 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 DEL PERU S.A. | MYTK5NHHP1G8TVFGT193 | Canaval y Moreyra 480, Piso 3, San Isidro, Lima 27, Peru | PERU | 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 KAZAKHSTAN | 95XXGORQK31JZP82OG22 | ул.Зенкова, дом 26/41, 050020, Almaty, Kazakhstan | KAZAKHSTAN | 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 |
| 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 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 N.A. ISRAEL BRANCH | E57ODZWZ7FF32TWEFA76 | Ha'arba'a 21 Tel Aviv | ISRAEL | 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 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 SINGAPORE LIMITED | 549300BSM2K5JOIUQ068 | 8 Marina View, #16-00 Asia Square Tower 1, Singapore 018960 | SINGAPORE | 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. (HONG KONG BRANCH) | E57ODZWZ7FF32TWEFA76 | Citi HK address: 50/F, Champion Tower, Three Garden Road, Central, Hong Kong | CHINA | Partner Bank | Securities Partner Bank | Sub Custodian |

|  |  | 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 |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- |
| 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. Brazilian Branch | E57ODZWZ7FF32TWEFA76 | Av. Paulista 1.111, 12o andar, CEP: 01311-920 São Paulo SP | BRAZIL | Partner Bank | Securities Partner Bank | Sub Custodian |
| CITITRUST COLOMBIA S A SOCIEDAD FIDUCIARIA | 549300242J3JJCOSGI49 | Carrera 9A, No. 99-02, Bogota, Colombia | COLOMBIA | Partner Bank | Securities Partner Bank | Sub Custodian |
| CLEARSTREAM BANKING AG | 549300298FD7AS4PPU70 | Mergenthalerallee 61, 65760, Eschborn, Germany | GERMANY | Financial Market Utility | Central Securities Depository (CSD) | Securities |
| CLEARSTREAM INTERNATIONAL SA | 549300OL514RA0SXJJ44 | 11 Westferry Circus, Canary Wharf, London, E14 4HE, United Kingdom | LUXEMBOURG | Partner Bank | Securities Partner Bank | International Central Securities Depository |
| 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 |
| EUREX CLEARING AG | 529900LN3S50JPU47S06 | Mergenthalerallee 61 65760 Eschborn, DE-HE Germany | GERMANY | Financial Market Utility | Central Counterparty (CCP) | Frankfurt Stock Exchanges Equities |
| 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 FRANCE | 54930060MY6S68NEUP16 | Euroclear France: 66 rue de la Victoire, 75009 PARIS | France | Financial Market Utility | Central Securities Depository (CSD) | Securities |
| 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 |
| HSBC BANK (CHINA) COMPANY LIMITED | 300300C1050131000118 | 33rd Floor, HSBC Building, Shanghai ifc, 8 Century Avenue, Pudong, Shanghai, China (200120) | CHINA | 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 |
| --- | --- | --- | --- | --- | --- | --- |
| HSBC BANK (VIETNAM) LIMITED | 213800H95OG9OHRT4Y78 | The Metropolitan, Floor 2, 235 Dong Khoi Street, District 1, Ho Chi Minh city, Vietnam | VIETNAM | 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 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 |
| 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 |
| ICE CLEAR CREDIT LLC | T33OE4AS4QXXS2TT7X50 | 353 North Clark Street, Chicago, 60654, US | UNITED STATES | 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 |
| ICE CLEAR EUROPE LTD | 5R6J7JCQRIPQR1EEP713 | MILTON GATE, 60 CHISWELL STREET, London EC1Y 4SA, GB | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | CDS |
| Islandsbanki HF. | 549300PZMFIQR79Q0T97 | Hagasmára 3, 201, Kópavogur, IS-1, Iceland | ICELAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| ITAU DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS S.A. | BZO2P8KHO2O10H5QQ663 | Avenida Brigadeiro Faria Lima, 3500, 3 Andar Parte, Sao Paulo, SP, 0453-8132 | BRAZIL | Partner Bank | Securities Partner Bank | Sub Custodian |
| ITAU UNIBANCO S/A. | 549300C1N8WOCC1VR551 | Alfredo Egydio de Souza Aranha 100, Sao Paulo, SP 0434-4902 | BRAZIL | 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 |
| 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 |
| KOREA SECURITIES DEPOSITORY | 9884008RRMX1X5HV6625 | 40, Munhyeongeumyung-ro, Nam-gu, Busan 50F, BIFC 48400 Busan Metropolitan City KR-26 | SOUTH KOREA | Financial Market Utility | Central Counterparty (CCP) | Cash Equity and Fixed Income |

| LCH LIMITED | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street, EC3N 1EA London | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | SwapClear (SCM) |
| --- | --- | --- | --- | --- | --- | --- |
| LCH LIMITED | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street, EC3N 1EA London | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | RepoClear (SCM) |
| 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) | Listed Interest Rates (SCM) |
| LCH LIMITED | F226TOH6YD6XJB17KS62 | Aldgate House, 33 Aldgate High Street, EC3N 1EA London | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | ForexClear (SCM) |
| LME CLEAR LTD | 213800L8AQD59D3JRW81 | 10 FINSBURY SQUARE, EC2A 1AJ, London, UK | UNITED KINGDOM | Financial Market Utility | Central Counterparty (CCP) | Metals and Metal Options |
| N A Citibank | 8B4EZFY8IHJC44TT2K84 | Estado 260, Level 2, Santiago, Chile 8320204 | CHILE | Partner Bank | Securities Partner Bank | Sub Custodian |
| N A CITIBANK | E57ODZWZ7FF32TWEFA76 | 388 Greenwich Street New York NY 10013 | UNITED STATES | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | F3J533DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | FINLAND | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | F3J533DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | Denmark | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | F3J533DEI6XQ4ZBPTN86 | Kungsträdgårdsgatan 8, SE-106 40 STOCKHOLM, SWEDEN | Norway | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | 549300ND1MQ8SNNYMJ22 | 2 Tornimäe Street, Tallinn 15010, Estonia; | Estonia | Partner Bank | Securities Partner Bank | Sub Custodian |
| SKANDINAVISKA ENSKILDA BANKEN AB | F3J533DEI6XQ4ZBPTN86 | 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 |
| STANBIC IBTC BANK PLC | 029200098C3K8B12D551 | 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 (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 (MAURITIUS) LIMITED | 549300ROQ58QYRNZLS10 | 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 GHANA PLC | 549300WFGKTC3MGDCX95 | PO Box 768, Standard Chartered Bank Building, no.87 Independence Avenue, Accra, Ghana | Ghana | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK KENYA LTD | 549300RBHWWEJIRG629 | 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, BAHRAIN BRANCH | RILFO74KP1CM8P6PCT96 | Manama Main Branch, Building no.180, Government Avenue, Manama 315. Kingdon of Bahrain | BAHRAIN | Partner Bank | Securities Partner Bank | Sub Custodian |
| STANDARD CHARTERED BANK, BANGLADESH BRANCH | RILFO74KP1CM8P6PCT96 | 67 Gulshan Avenue, Dhaka, Bangladesh | BANGLADESH | 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 |
| 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, 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, 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 |
| STATE STREET BANK AND TRUST COMPANY | 549300ZFEEJ2IP5VME73 | State Street Financial Center 1 Lincoln Street Boston MA 02111 | UNITED STATES | 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 |
| The Branch of CITIBANK, N.A. in the Republic of Argentina | 579100KKDGKCFFKF005 | Bartolomé Mitre 530 -3rd floor, Buenos Aires, C1036AAJ, Argentina | ARGENTINA | 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 |
| 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 |

| 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 BANK SRBIJA A.D. | 5299000100THU00TYK59 | Jurija Gagarina 12, Belgrade Business Center 11070 Novi Beograd, Srbija | SERBIA | 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 |
| 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 |
| ZAGREBACKA BANKA D.D. | PRNXTNXHBI0TSY1V8P17 | Savska 62, 10000 Zagreb | CROATIA | Partner Bank | Securities Partner Bank | Sub Custodian |

**Attachment 4:** `MLISBSDAQ7.pdf`

# Merrill Lynch International

Form SBSE-A

Supplemental Filing Attachment:

**Response to Question 7**

**November 1, 2021**

# **Merrill Lynch International - Response to Question 7 of Form SBSE-A Briefly describe the applicant's business:**

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

**Attachment 5:** `MLISBSDAQ11ScheduleBSectionI.pdf`

# Merrill Lynch International

Form SBSE-A

Supplemental Filing Attachment:

**Response to Schedule B, Section I**

**November 1, 2021**

# **Merrill Lynch International - Response to Question 11 of Form SBSE-A Schedule B, Section I describe any other financial services industry-related, non-securities business briefly**

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

**Attachment 6:** `MLISBSDAQ13AScheduleBII.pdf`

# Merrill Lynch International

Form SBSE-A

Supplemental Filing Attachment:

**Response to Schedule B, Section II**

**November 1, 2021**

# **Merrill Lynch International - 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 Nihonboshi, 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. |

**Attachment 7:** `MLISBSDAQ14ScheduleBII.pdf`

# Merrill Lynch International

Form SBSE-A

Supplemental Filing Attachment:

**Response to Schedule B, Section II**

**February 21, 2023**

# **Merrill Lynch International - Response to Item 14 of Form SBSE-A with respect to Control Persons**

ML UK Capital Holdings Limited
2 King Edward Street
London, UK, EC1A 1HQ

BofAML EMEA Holdings 2 Limited
IFC1, The Esplanade
St. Helier
Jersey, JE2 3BX

BofAML Jersey Holdings Limited
IFC1, The Esplanade
St. Helier
Jersey, JE2 3BX

NB Holdings Corporation
100 North Tryon Street
Charlotte, NC 28255

Bank of America Corporation
100 North Tryon Street
Charlotte, NC 28255

**Attachment 8:** `MLILegalOpinionSBSEA.pdf`

# Merrill Lynch International

Form SBSE-A

Supplemental Filing Attachment:

Schedule F, Section I, Item 2

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

November 1, 2021

# CLEARY GOTTLIEB STEEN & HAMILTON LLP

NEW YORK
WASHINGTON, D.C.
PARIS
BRUSSELS
FRANKFURT
COLOGNE
MOSCOW

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

ROME
MILAN
HONG KONG
BEIJING
BUENOS AIRES
SÃO PAULO
ABU DHABI
SEOUL

October 21, 2021

To:

Merrill Lynch International,
2 King Edward St,
London, EC1A 1HQ
United Kingdom

With a copy to:

United States Securities and Exchange Commission
SEC Headquarters
100 F Street
NE Washington, DC 20549-1090
United States of America

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

We have acted as special English counsel to Merrill Lynch International (the “Firm”), an investment firm regulated by the United Kingdom (“UK”) Financial Conduct Authority (“FCA”) and the UK Prudential Regulation Authority (“PRA”), in connection with the Firm’s application to register with the United States (“U.S.”) Securities and Exchange Commission (“SEC” or the “Commission”) as a non-resident security-based swap (“SBS”) dealer (“SBSD”). In connection with such registration, we have been asked to analyze the following questions:

- (a) whether the Firm can, as a matter of English law, provide the SEC with prompt access to its UK Books and Records (as defined below);
- (b) whether the Firm can, as a matter of English law, submit to on-site inspection and examination by the SEC of its UK Books and Records in the UK; and
- (c) whether the Firm would be in breach of English law by submitting to on-site inspections 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).

Cleary Gottlieb Steen & Hamilton LLP is a Limited Liability Partnership registered in England and Wales Number OC310280. It is authorised and regulated by the Solicitors Regulation Authority. A list of the members and their professional qualifications is open to inspection at the registered office, 2 London Wall Place, London EC2Y 5AU. Cleary Gottlieb Steen & Hamilton LLP or an affiliated entity has an office in each of the cities listed above.

For the purposes of this opinion letter:

“Covered Books and Records” are only those books and records that:

(a) relate to the “U.S. business” (as defined in 17 C.F.R. § 240.3a71-3(a)(8)) of the 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 the Firm with a U.S. person (other than an SBS conducted through a foreign branch of such U.S. person); or

(ii) arranged, negotiated, or executed by personnel of the Firm located in a U.S. branch or office, or by personnel of an agent of the Firm located in a U.S. branch or office; or

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

Additionally, books and records pertaining to SBS transactions entered into prior to the date that the Firm submits an application for registration are not Covered Books and Records.

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

“UK Books and Records” are only those Covered Books and Records that are physically held or electronically stored in the UK.

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

In arriving at our opinions below, we have reviewed:

(a) the Memorandum of Understanding signed between the FCA, the PRA and the SEC on July 30, 2021 (the “MoU”);1

(b) the administrative arrangement for the transfer of personal data between the SEC and the FCA signed on 29 April 2020 (the “Administrative Arrangement”);2

(c) the letter from the UK Information Commissioner’s Office (the “ICO”) to the SEC dated September 11, 2020 (the “ICO Letter”);3 and

(d) the SEC order granting conditional substituted compliance in connection with certain requirements applicable to non-U.S. security-based swap dealers and major

1 Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision and Oversight of Certain Cross-Border Over-the-Counter Derivatives Entities In Connection with the Use of Substituted Compliance by Such Entities, signed on 30 July 2021, available at https://www.fca.org.uk/publication/mou/sec-fca-boe-mou-2021.pdf.

2 Available at: https://www.sec.gov/files/FCA-SEC-AA-FINAL.pdf.

3 Available at: https://ico.org.uk/media/for-organisations/documents/2619110/sec-letter-20200911.pdf.

2

security-based swap participants subject to regulation in the United Kingdom, dated July 30, 20214.

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

# I. ASSUMPTIONS

In rendering our opinion statements below, we have assumed and not independently verified:

(a) the SEC’s requests for the Relevant Books and Records (as defined below) and on-site inspection and examination will be intra vires;

(b) the SEC will restrict its requests for, and use of, any information in the Relevant Books and Records or obtained in the course of its on-site inspection and examination, to only such information that it may lawfully request and process for (and that is strictly necessary for) its own legitimate regulatory purposes in respect of the Firm’s activities as a non-resident SBSD;

(c) the SEC will limit its requests in respect of personal data (as defined in Article 4(1) UK GDPR, “personal data”) included in the Relevant Books and Records to targeted requests based upon a risk-based assessment in respect of specific customers, employees and accounts5;

(d) the SEC will maintain any information, data and documents obtained from the Firm in a secure manner and in compliance with all applicable U.S. laws of confidentiality and not share onwards any personal data obtained from the Firm other than in accordance with a lawful request of the U.S. Congress or a properly issued subpoena, or to other regulators who have demonstrated a need for the information and provided assurances of confidentiality;

(e) the Relevant Books and Records have been collected and maintained, and are and will be held, in accordance with the Data Protection Laws (as defined below) and English employment law relating to the processing of personal data of employees; in particular, the Firm and any relevant affiliates, as the case may be, have complied with all transparency requirements in respect of its processing of personal data by means of providing sufficiently detailed notices and information to its customers and employees and is otherwise complying with Data Protection Laws and employment law requirements relating to the processing of personal data of employees;

(f) the Firm or its relevant associated persons (including affiliates), as the case may be, have obtained all required consents and approvals of any affected persons required for the disclosure of the respective information in the UK Books and Records or the U.S. Books and Records, as the case may be, to, or to allow on-site inspection and examination by, the

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

5 The ICO Letter states that the SEC has informed the ICO that: “it is the SEC’s practice to limit the type and amount of personal data it requests during examinations to targeted requests based on risk and related to specific clients and accounts, and employees. The requested information may include some limited criminal records data and ‘special category data’ under the GDPR”.

3

SEC, in each case to the extent, as considered in this opinion letter, such consent or approval, as the case may be, is able to be validly given and such consent or approval has not been revoked;

(g) where the Firm is acting as controller (as defined in Article 4(7) UK GDPR, “controller”) with respect to any element of the Relevant Books and Records that constitutes personal data, the Firm will comply in all respects with all provisions of the Data Protection Laws 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 UK GDPR to be available to it; and where transfers of personal data are made to the SEC in the absence of an adequacy decision pursuant to Article 45(3) UK GDPR$^{6}$, such disclosure will be necessary for important reasons of public interest (under Article 49(1)(d) UK GDPR) in accordance with the ICO Letter;$^{7}$

(h) the Firm has neither permitted the private use of the Firm’s business e-mail accounts nor the use of private email accounts for business purposes by its employees, or the Firm has policies in place that regulate such use with sufficient separation;

(i) the Firm does not include the information described in 17 C.F.R. §§ 240.18a-5(b)(8)(i)(A) through (H) or 240.18a-5(a)(10)(i)(A) through (H), as the case may be, in questionnaires or applications for employment executed by an associated person who is not a U.S. person (as defined in 17 C.F.R. §240.3a71-3(a)(4)(i)(A)), unless the Firm is required to obtain such information under applicable law in the jurisdiction in which the associated person is employed or located or obtains such information in conducting a background check that is customary for the Firm in that jurisdiction and the creation or maintenance of records reflecting that information would not result in a violation of applicable law in the jurisdiction in which the associated person is employed or located; provided that the Firm does not know, or in the exercise of reasonable care should have known, of the statutory disqualification of such associated person;

(j) the Firm will keep the U.S. Books and Records in accordance with any applicable SEC requirements;

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

$^{6}$ As supplemented by Section 17A UK DPA 2018.

$^{7}$ The ICO Letter provides support for the view that the Firm’s compliance with an SEC disclosure request might, on a case-by-case basis and subject to the qualifications in the ICO Letter, be considered by the ICO to be in the UK public interest since such disclosure helps to: (i) prevent UK financial crimes from being committed and (ii) prevent the commission in the U.S. of conduct that would amount to a UK financial crime. In the ICO’s assessment in the ICO Letter, the Financial Services and Markets Act 2000 (the “FSMA”) further demonstrates that there is a “UK public interest in UK-based firms not being used for the purposes of conduct overseas that would constitute a financial crime if committed in the UK.” In addition, compliance with the SEC’s request for disclosure and examination helps the Firm comply with Principle 11 of the FCA Handbook and the PRA’s Fundamental Rule 7, which require FCA- and PRA-regulated firms to deal with regulators worldwide in an open and cooperative way. The ICO Letter therefore supports the view that the relevant data transfers could be considered necessary for important reasons of public interest. However, the ICO Letter also makes clear the importance of complying with other UK GDPR obligations. In addition to relying on Article 49(1)(d) (if it can do so), the Firm also has to demonstrate a lawful basis under Article 6 UK GDPR for every instance it makes a disclosure or permits examination of the Relevant Books and Records by the SEC.

4

(l) the FCA, the PRA and the SEC (as applicable) will comply in all respects with all provisions of the UK MOU and Administrative Arrangement; and

(m) neither the contractual arrangements with its customers or within its own organisation (including any standard contractual clauses or other intragroup data transfer mechanism or protocol) nor any orders by, or other arrangements with, its regulators or other supervisory authorities (including the FCA or the PRA) prohibit the Firm from providing the SEC with prompt access to the UK Books and Records or to submit to on-site inspection and examination of the Relevant Books and Records by the SEC.

## II. OPINION STATEMENTS

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

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

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

(c) the Firm can, as a matter of English law, submit to on-site inspection and examination by the SEC of its U.S. Books and Records in the United States.

## III. DISCUSSION

### 1. Data Protection Law

The UK data protection regime is largely derived from European Union (“EU”) privacy and data protection laws retained in successor UK legislation after the UK’s withdrawal from the EU.

The primary law regulating the processing of personal data in the EU is the General Data Protection Regulation 2016/679 (the “GDPR”). The GDPR forms part of the UK’s “retained EU law” under (and as defined in) the European Union (Withdrawal) Act 2018 (“EUWA”). The UK version of the GDPR operates under the EUWA as amended by Schedule 1 to the Data Protection, Privacy and Electronic Communications (Amendments etc.) (EU Exit) Regulations 2019 (SI 2019/419) (“UK GDPR”), and sits alongside the UK Data Protection Act 2018 (“DPA 2018”), which contains provisions that serve to supplement (and in some cases, derogate from) the UK GDPR.

The UK GDPR and the DPA 2018 (together, the “Data Protection Laws”) will apply to the Firm’s disclosure of the Relevant Books and Records to the SEC to the extent that these comprise or contain personal data. Personal data is any data relating to an identified or identifiable living individual and may include information concerning the Firm’s employees, counterparties and customers.

As described in the ICO Letter, the UK GDPR “*provides a range of transfer tools and gateways*”$^{8}$ that permit in certain circumstances the transfer of personal data

$^{8}$ ICO Letter, page 3.

5

from entities, acting as controller or processor, in the UK such as the Firm to public authorities such as the SEC in the absence of an adequacy decision pursuant to Article 45(3) UK GDPR.9 For instance, Article 46(1) UK GDPR provides that a UK-based 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 UK GDPR provides that in the absence of an adequacy decision pursuant to Article 45(3) UK 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 based on one of the derogations enumerated in Article 49 UK GDPR, provided that all the conditions of such a derogation are met. Such conditions include:

(a) 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;

(b) 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;

(c) 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;

(d) the transfer is necessary for important reasons of public interest; and

(e) 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 UK GDPR, inform the data subject of the transfer and of the compelling legitimate interests pursued.

In addition, the European Data Protection Board (“EDPB”) has issued guidelines as to the scope and interpretation of Article 49 GDPR on derogations in the context of transfers of personal data to third countries (the “Guidelines”).10

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

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

10 EDPB’s Guidelines 2/2018 on derogations of Article 49 under Regulation 2016/679, adopted on 25 May 25 2018, available at: https://edpb.europa.eu/sites/edpb/files/files/file1/edpb_guidelines_2_2018_derogations_en.pdf.

6

It will be the responsibility of the Firm as data controller to assess, on a case-by-case basis (as and when the SEC requires disclosure of or access to Relevant Books and Records that may contain personal data), which of the provisions of the Data Protection Laws may be relied on for the lawful disclosure to the SEC of personal data comprising or contained in the Relevant Books and Records. On the basis of and in reliance on the ICO’s position set out in the ICO Letter, in accordance with which the Firm may be able to rely on the derogation under Article 49(1)(d) UK GDPR to justify the transfer to the SEC of Relevant Books and Records containing personal data, we are of the view that, subject to our assumption in item (g) and the other assumptions and qualifications in this opinion letter, the provision of prompt access to and the submission to on-site inspection and examination of, the Relevant Books and Records, as the case may be, do not conflict with the applicable Data Protection Laws.

## 2. Duty of Confidentiality

Over the years, the English courts have recognized that confidential information may be subject to certain duties of confidentiality, including a general duty of confidentiality, and specific duties applying to banks and employers.$^{11}$

### a. Scope of duties

According to the case, *Coco v AN Clark (Engineers) Ltd* [1968] F.S.R. 415, two requirements are needed for the information to be protected under the general duty of confidentiality. Firstly, the information must have the “*necessary quality of confidence*”.$^{12}$ Secondly, the information must have been given in a situation which imposed an obligation of confidence.

(i) The necessary quality of confidence is defined as information which is not “*public property and public knowledge*”.$^{13}$ Given the information contained in the Relevant Books and Records is not publically available, it is likely to possess the requisite quality of confidence to the extent that the information relates to the Firm’s customers or employees and is not information owned by or relating to the Firm itself.

(ii) The information must have been communicated in a situation where an obligation of confidence was either expressly or impliedly imposed.$^{14}$ The court will consider whether the recipient of the information knew, or ought to have known, that there was a duty of confidentiality in relation to that information. Such duty confidentiality can be imposed by contract, implied by the circumstances of the disclosure, or implied by a special relationship between the parties.

If aspects of the information contained in the Relevant Books and Records relate to either customers or employees, this would likely imply that the Firm, as the recipient, either knew or ought to have known that the information was to be treated confidentially.

$^{11}$ The following discussion is without prejudice to the discussion of the Data Protection Laws above.

$^{12}$ Megarry J in the *Coco v AN Clark (Engineers) Ltd* at 419 used the formulation first used by Lord Greene, M.R. in *Saltman Engineering Co Ltd v Campbell Engineering Co Ltd* [1948] 65 RPC 203, [1963] 3 All ER 413.

$^{13}$ *Saltman Engineering Co Ltd v Campbell Engineering Co Ltd* at 415.

$^{14}$ Megarry J in *Coco v AN Clark (Engineers) Ltd* at 420.

7

Under the banker's duty of confidence established by *Tournier v National Provincial and Union Bank of England* [1924] 1 KB 461 ("*Tournier*"), banks, such as the Firm, must keep its customer's affairs private. The scope of the banker's duty of confidentiality is wide, and extends "*at least to all the transactions that go through the account, and to the securities, if any, given in respect of the account*", "*beyond the point when the account is closed, or cease[s] to be an active account*",15 and encompasses intra-bank disclosures within the same corporate group.16

In contrast, an employer's duty of confidence17 is limited: the Firm will only be restricted in its use of information held in relation to its employees "*where there is no reasonable and proper cause for the employer[']s conduct and only then if the conduct is calculated to destroy or seriously damage the relationship of trust and confidence.*"18

**b. Exceptions**

To bring a successful claim for breach of confidentiality, the legal or natural person to whom the duty of confidentiality is owed (the "*Rights Holder*") must demonstrate that there has been an unauthorized use of confidential information to their detriment.19

Where Relevant Books and Records contain customer information, the Firm will only be able to disclose Relevant Books and Records containing confidential information in un-redacted form via one of the following exceptions established in *Tournier*:

- (a) where the disclosure is made by the express or implied consent of the customer;
- (b) under compulsion of law;
- (c) where the disclosure is in the public interest; or
- (d) where it is in the interests of the bank to make disclosure.

The general and employer's duties of confidentiality are also subject to the exceptions in (a)20 to (c) above.

*i. Consent*

Disclosure of confidential information is permissible where the Rights Holder has given their consent to the disclosure of their confidential information.

There is likely to be a high bar to meet when relying on implied consent. In *Turner v Royal Bank of Scotland Plc* [1999] 2 All E.R, it was decided that established market

15 *Tournier* at 485.

16 *Bank of Tokyo Ltd v Karoon* [1987] 1 AC 45 at 54.

17 *Prout v British Gas Plc and Another* [1992] F.S.R. 478 at 482.

18 *Malik v Bank of Credit and Commerce International SA* [1998] A.C 20 at 53.

19 Megarry J in *Coco v AN Clark (Engineers) Ltd* at 421.

20 The availability of the exception in (a) in relation to the general duty of confidentiality was confirmed by *Arnold J in Primary Group (UK) Ltd v The Royal Bank of Scotland Plc* [2014] R.P.C. 26 at 246.

8

practice of sharing of customer information between banks did not amount to implied consent of the customer as the customer was not aware of this practice. To amount to implied consent, the practice under which disclosure is made must be “*notorious, certain and reasonable*”.$^{21}$

The ability to rely on implied consent in relation to customers will partly depend on what information is provided to customers when the Firm provides services in SBSs. If no information about the jurisdiction or regulators involved is provided, then the Firm would be placing reliance on the customer’s own understanding of regulatory obligations on banks, the U.S. nexus and the SEC’s role in these services, which may not necessarily be present. However, if customers are provided detailed information, such as the Firm’s cross-border activity in SBSs with the United States and oversight by the SEC, then the Firm is more likely to be able to rely on implied consent.

# ii. *Compulsion of law*

Disclosure of confidential information may be permitted when required by statutory law or court order.

However, this exception, as it relates to statutory obligations, is likely only available where the compulsion stems from UK statute$^{22}$ and, despite the existence of UK statutory provisions requiring the disclosure of information that would otherwise be confidential,$^{23}$ none are directly applicable to this situation.

Likewise, a U.S. court order is unlikely to be sufficient for this exception. *X AG and others v A bank* [1983] 2 All ER at 475 held that a subpoena requiring disclosure issued by a foreign court did not qualify as compulsion by law on the basis that “[t]he fact is that confidentiality is not rendered illegal by a subpoena requiring disclosure, which is to be contrasted with some form of legislation to that end.”

Finally, given that the MoU between the FCA, the PRA and the SEC lacks the authority of statute, it should not be relied upon by the Firm for the purpose of this exception.

# iii. *Public interest*

The public interest exception requires a balance to be struck between the rights of the Rights Holders and the public interest in the SEC obtaining that confidential

$^{21}$ Sir Richard Scott VC at 670 quoting from *Chitty on Contracts* (27th edn, 1994), vol I, para 13-014.

$^{22}$ In *A and Others v B Bank (Governor and Company of the Bank of England intervening)* [1992] 3 WLR 705 it was held that there would be no breach of confidentiality where disclosure was ordered by a United Kingdom regulator (the Bank of England) who would then pass the information over to a foreign regulator (the U.S. Federal Reserve Board). However, it was the United Kingdom regulator’s compelling power under the Banking Act 1987, not that of the U.S. Federal Reserve Board, which was decisive.

$^{23}$ For example, under certain circumstances, a person may be required to produce documents or otherwise disclose information in accordance with the FCA’s and PRA’s powers under Part XI of the FSMA. In addition, under s.330 of the Proceeds of Crime Act 2002 it is an offence for someone in the regulated sector not to disclose knowledge or suspicion of money laundering activities as required by the legislation.

9

information.$^{24}$ The test to be applied involves considering whether in all the circumstances, it is in the public interest that the duty of confidence should be overridden.$^{25}$

Disclosure in the public interest has been narrowly construed by the English courts, and the burden is for the Firm to justify disclosure of confidential information.$^{26}$ In *Tournier*, it was suggested that national security concerns,$^{27}$ and disclosure in the interest of preventing fraud or crime would meet this criterion.$^{28}$

However, it has been held that public interest in effective regulation and supervision of banking institutions$^{29}$ outweighs the public interest in maintaining confidentiality, even without statutory compulsion.$^{30}$ In such instances, the weight of the claim for disclosure is greater when considering limited disclosure, such as to a relevant authority acting under its own duties of confidence, as opposed to public dissemination of information.$^{31}$

Disclosure to the SEC may aid the SEC’s supervisory mandate. This would likely be sufficient to establish a public interest in disclosure, as compliance with SEC Rules (i) helps to prevent UK financial crimes from being committed; and (ii) helps to prevent the commission in the U.S. of conduct that would amount to a UK financial crime. In addition, compliance with a request from the SEC for disclosure or examination helps the Firm comply with its obligations under the FCA’s Principle 11 and the PRA’s Fundamental Rule 7, as applicable, which require the Firm to “deal with its regulators$^{32}$ in an open and cooperative way...”.

For these reasons, it is likely that the Firm would be able to rely on this exception to the duties of confidence in permitting the SEC to access and examine its Relevant Books and Records.

# iv. *In the bank's interest*

In certain cases, confidential information that is subject to the banker’s duty of confidentiality may be disclosed where it is in the interests of the bank. This exception is not available for information that is subject to the general duty of confidentiality alone. However, we consider that this exception is available to information that is subject to both such duties,

$^{24}$ *AG v Guardian Newspapers (No 2) and Others* [1990] 1 A.C. 109 (known as *Spycatcher*) at 268.

$^{25}$ *Prince of Wales v Associated Newspapers Ltd (CA)* [2007] 3 WLR at 68.

$^{26}$ *Price Waterhouse v BCCI Holdings (Luxembourg) SA* [1992] BCLC 583 at 597.

$^{27}$ *Tournier* at 481 and 486.

$^{28}$ *Tournier* at 486.

$^{29}$ In *Pharaon v Bank of Credit and Commerce International SA* [1998] 4 All E.R. 455, it was held that a bank could comply with a foreign subpoena without breaching the duty of confidentiality on the basis of the public interest exception (this contrasts with the exception for compulsion of law, as discussed above).

$^{30}$ *Price Waterhouse v BCCI Holdings (Luxembourg) SA* [1992] BCLC 583 at 596 and 601. Although this case concerned disclosure by accountants, the court’s analysis applies equally to the duty of confidentiality owed by a bank.

$^{31}$ *AG v Guardian Newspapers (No 2) and Others* at 268.

$^{32}$ This is considered to include non-UK regulators (see the FCA’s Principles for Businesses (PRIN) 1.1.6G, which sets out that “Principle 11 (Relations with regulators) applies to world-wide activities; in considering whether to take regulatory action under Principle 11 in relation to cooperation with an overseas regulator, the FCA will have regard to the extent of, and limits to, the duties owed by the firm or other person to that regulator.”)

10

leaving only information that does not relate to customers (*e.g.*, information relating to employees) beyond the scope of this exception.

Although it is in the Firm’s interest to comply with the SEC’s requests, the case law indicates that a high bar exists to satisfy this exception. The qualification will most obviously cover the situation where a bank commences proceedings against its customer to recover an unpaid loan or overdraft facility and the bank has to disclose the extent of the customer’s liabilities in its claim.$^{33}$ However, in *XAG and others v A Bank*, Leggatt J held that it was not clearly in the defendant bank’s own interests to comply with a subpoena from New York, as the bank could not establish as a matter of fact that it would face any serious detriment for its failure to comply.$^{34}$ Accordingly, the bank’s own interest exception will be construed narrowly and the court will assess whether the bank’s own interests are genuinely threatened by non-disclosure.

In relation to the SEC’s requests, failure to comply may result in enforcement action and potentially the Firm’s inability to conduct SBS business in U.S. markets. Therefore, it is arguable that the Firm may face serious detriment for a failure to comply with the SEC’s requests.

However, to rely on this exception, the Firm must also balance its interests in complying with the SEC’s disclosure request against the competing interest of its customers in the banker’s duty of confidence being maintained, and the Firm must satisfy itself that those interests do not outweigh its own. This would require an assessment on a case-by-case basis. As each customer’s circumstances differ, this exception may not provide a consistent basis on which to provide information to the SEC in comparison to the public interest exception above.

In conclusion, as explored above, it is unlikely that the compulsion of law exception will be applicable. In relation to the banker’s duty of confidentiality, it may not be possible to rely on disclosure in the bank’s interest in all cases. However, the Firm should be able to rely on the public interest and, where available, consent exceptions to the duties of confidence in permitting the SEC to access and examine its Relevant Books and Records.

#### **IV. QUALIFICATIONS**

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

(a) This opinion letter relates exclusively to (i) the access provided to the SEC to the UK Books and Records in respect of which, for purposes of the Data Protection Laws, the Firm is a data controller, and that are subject to English law; and (ii) on-site inspection and examination by the SEC of the UK Books and Records on the premises of the Firm in the UK and the U.S. Books and Records on the premises of the Firm in the United States, as the case may be.

(b) This opinion letter is confined to legal matters, and we express no opinion as to any factual matters.

(c) This opinion letter may therefore only be relied upon under the condition that this opinion letter shall be governed by English law and construed in accordance with

$^{33}$ See *Tournier* at 473.

$^{34}$ *XAG and others v A bank* at 475.

11

English rules of construction and that issues of interpretation of this opinion must be brought before an English court.

(d) The opinion statements set out above are limited to English law. We do not express any opinion as to, and have not made any investigation of, any law other than English law in force as at the date hereof and as applied according to published case law.

(e) The opinion statements set out above are based upon the ICO Letter and our understanding that the SEC, in its preliminary view, has been provided “*with adequate assurances*” by the FCA and the PRA that “*no law or policy would impede the ability of any entity that is directly supervised by the authority and that may register with the Commission to provide prompt access to the Commission to such entity’s books and records or to submit to onsite inspection or examination by the Commission*”$^{35}$. The opinion statements set out above are predicated on the ICO not significantly changing its proposed regulatory approach to the matters set out in the ICO Letter following the end of the transition period after the UK’s withdrawal from the EU.$^{36}$

(f) The opinion statements to the effect that the Firm “can”, as a matter of English 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 Data Protection Laws 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 (such as, in the case of processing on the bases of Articles 6(1)(e) and 6(1)(f) UK GDPR, a right of data subjects to object to the relevant processing$^{37}$) and other applicable provisions of the Data Protection Laws,$^{38}$ as set out in this opinion letter. Whether the requirements of (and qualifications to) the legal basis to be relied upon in a specific case are actually fulfilled, must be determined on a case-by-case basis by the Firm (as and when the SEC requires disclosure of or access to Relevant Books and Records that may contain personal data) after due and careful consideration.

(g) 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 letter 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. 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

$^{35}$ See Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Notices, p. 6 available at https://www.govinfo.gov/content/pkg/FR-2021-08-06/pdf/2021-16657.pdf.

$^{36}$ The ICO states to the SEC in the ICO Letter: “*The UK has left the European Union and is currently in a transition period when EU laws, including GDPR, continue to apply. At the end of this transition period on 1 January 2021 the UK GDPR will apply, which will contain very similar provisions. We do not anticipate any significant change to our approach to the application of the UK GDPR to the transfers of personal data by SEC regulated UK firms to you.*”

$^{37}$ UK GDPR Article 21(1).

$^{38}$ For instance, in the ICO Letter, the ICO states that: “*We would not find there to be a breach of the GDPR transfer rules if the firm provided evidence that it had carefully considered and appropriately applied the Art. 49.1(d) ‘public interest’ derogation.*” (emphasis added). The opinions expressed in this letter regarding Article 49(1)(d) are accordingly subject to the Firm’s compliance with these ICO requirements.

12

access to its books and records, or would impact the ability of the SEC to inspect and examine the SBSD. Upon such change of law, the SBSD will be required to submit a revised opinion describing how, as a matter of English law, the SBSD will continue to meet its obligations.

(h) The MoU is not a legally binding agreement and therefore that the SEC, the FCA and the PRA are not under a legal obligation to comply with its provisions.

## V. RELIANCE

This opinion letter is being furnished solely for the benefit of the Firm and is not to be relied on by, or furnished to, any other person or used, circulated, quoted or otherwise referred to for any other purpose, except that the Firm may submit this opinion letter to the SEC as part of its application to register as a non-resident SBSD. In authorizing the Firm to make this opinion letter available to the SEC for such purposes, we are not undertaking or assuming any duty or obligation to the SEC or establishing any lawyer-client relationship with it.

This opinion letter is limited to the matters expressly stated herein and does not extend to, and is not to be read as extended by implication to, any other matters.

Very truly yours,

CLEARY GOTTLIEB STEEN & HAMILTON LLP

By:

Sunil Gadhia, a Partner

13

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

### Applicant Information

**Full Applicant Name:** MERRILL LYNCH INTERNATIONAL

**NFA Number:** 289121

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

**CIK:** 0001062577

**UIC:** GGDZP1UYGU9STUHRDP48

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

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

**Contact Employee:**

- **Name:** MARK DEANGELIS

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

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

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

**Chief Compliance Officer:**

- **Name:** NAVEED SHAH

- **Title:** Managing Director; Co-Head of EMEA Comp and Op Risk

- **Phone:** 44-20-7995-0014

- **Email:** naveed.shah@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/Chief Executive Officer                       | 07/2018         | 07/2015              |  |       487786 |
| Henry James O'Neil              | Director                                               | 02/2021         | 03/2021              |  |       537189 |
| Martin Butler                   | Director/Chief Financial Officer                       | 04/2004         | 02/2013              |  |       454869 |
| Martina Slowey                  | Head of a Business Unit, Division or Function/Director | 11/2020         | 11/2020              |  |       532278 |
| Peter Stuart O'Flynn            | Head of a Business Unit, Division or Function          | 02/2019         | 02/2019              |  |       518859 |
| Pierre Jacques Philippe De Weck | Director                                               | 06/2018         | 06/2018              |  |       470677 |
| Richard John Keys               | Director                                               | 05/2017         | 05/2017              |  |       506695 |
| Rosemary Prudence Thorne        | Director                                               | 08/2017         | 08/2017              |  |       507499 |
| Thomas Dunne Woods              | Director                                               | 03/2020         | 03/2020              |  |       496348 |
| Susan Yung                      | Head of a Business Unit, Division or Function          | 11/2021         | 11/2021              |  |       544284 |
| Naveed Shah                     | Chief Compliance Officer                               | 11/2022         | 11/2022              |  |       552763 |

### Schedule B: Explanations

**Description:**
See Supplemental Attachment

**Records Keeper:**

- **Name:** See Supplemental Attachment

  - **Address:** NA, NA, X0, NA

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

  - **Arrangement:** —

**Onbehalf:**

- **Name:** See Supplemental Attachment

  - **Address:** NA, NA, X0, NA

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

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** See Supplemental Attachment

  - **Address:** NA, NA, X0, NA

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

  - **Arrangement:** —

### Execution

**Date:** 03-08-2023

**Name of Applicant:** MERRILL LYNCH INTERNATIONAL

**Signature:** /s/ Martin Butler

**Printed Name:** Martin Butler

**Title:** CFO