# EDGAR Filing Document

**Accession Number:** 0000926171
**File Stem:** 0000926171-23-000003
**Filing Date:** 2023-3
**Character Count:** 6741
**Document Hash:** a42ef20d68032d701900447e298c40a0
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000926171-23-000003.hdr.sgml**: 20230322

**ACCESSION NUMBER**: 0000926171-23-000003

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

**PUBLIC DOCUMENT COUNT**: 6

**FILED AS OF DATE**: 20230321

**DATE AS OF CHANGE**: 20230322

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NATIONAL BANK OF CANADA /FI/
- **CENTRAL INDEX KEY:** 0000926171
- **STANDARD INDUSTRIAL CLASSIFICATION:** COMMERCIAL BANKS, NEC [6029]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** A8
- **FISCAL YEAR END:** 1031

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00204
- **FILM NUMBER:** 23752031

**BUSINESS ADDRESS:**
- **STREET 1:** 600 DE LA GAUCHETIERE WEST
- **STREET 2:** 4TH FLOOR
- **CITY:** MONTREAL
- **STATE:** A8
- **ZIP:** H3B 4L2
- **BUSINESS PHONE:** 416-869-3707

**MAIL ADDRESS:**
- **STREET 1:** 1155 METCALFE ST
- **STREET 2:** 5TH FLOOR
- **CITY:** MONTREAL
- **STATE:** A8
- **ZIP:** H3B 4S9

### Attached PDF Documents

**Attachment 1:** `officercertifcate.pdf`

_No text found in this document._

**Attachment 2:** `regulators.pdf`

_No text found in this document._

**Attachment 3:** `thirdparties.pdf`

_No text found in this document._

**Attachment 4:** `opinionofcounsel.pdf`

_No text found in this document._

**Attachment 5:** `form7r.pdf`

_No text found in this document._

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

### Applicant Information

**Full Applicant Name:** NATIONAL BANK OF CANADA /FI/

**NFA Number:** 503705

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

**CIK:** 0000926171

**Main Address:** 600 DE LA GAUCHETIERE WEST, 4TH FLOOR, MONTREAL, A8, H3B 4L2

**Mailing Address:** 1155 METCALFE ST, 5TH FLOOR, MONTREAL, A8, H3B 4S9

**Business Telephone:** 416-869-3707

**Contact Employee:**

- **Name:** ANNE MONTMINY

- **Title:** SENIOR DIRECTOR SWAP DEALER COMPLIANCE

- **Phone:** 646-629-6794

- **Email:** AMONTMINY@NBF-US.COM

**Chief Compliance Officer:**

- **Name:** NIZAR ARAJI

- **Title:** VP & CCO, FINANCIAL MARKETS

- **Phone:** 514-879-5355

- **Email:** NIZAR.ARAJI@BNC.CA

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

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

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board

**Description of Business:**
Founded in 1859, National Bank of Canada offers financial services to individuals, businesses, institutional clients and governments across Canada. National Bank of Canada is one of Canada's six systemically important banks. National Bank of Canada operates through three business segments in Canada--Personal and Commercial Banking, Wealth Management and Financial Markets. A fourth segment U.S. Specialty Finance and International complements the growth of our domestic operations.

### 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?:** No

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

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

**Subject to foreign regulation?:** Yes

**Number of Principals:** 14

### Schedule A: Principals

| Name                  | Title or Status                                            | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| BRIAN ADAM DAVIS      | COPRESIDENT AND CO CHIEF EXECUTIVE OFFICER, NBF            | 01/2021         | 12/2020              | NA - less than 5% |       505693 |
| DAVID SKURKA          | EVP, MD & CO-HEAD, CORPORATE & INVESTMENT BANKING          | 11/2020         | 10/2020              | NA - less than 5% |       539863 |
| ETIENNE DUBUC         | EVP and MD, Head of Financial Markets                      | 11/2020         | 01/2005              | NA - less than 5% |       539861 |
| MARIE-CHANTAL GINGRAS | SVP, Financial Accounting                                  | 04/2021         | 08/1998              | NA - less than 5% |       547756 |
| KARSTEN HOWES         | SVP, MARKET RISK                                           | 10/2016         | 08/2014              | NA - less than 5% |       539992 |
| LAURENT FERREIRA      | PRESIDENT & CHIEF EXECUTIVE OFFICER                        | 11/2021         | 02/1998              | NA - less than 5% |       539860 |
| MARTIN-PIERRE ROUSSEL | EVP & CO-HEAD, CORPORATE AND INVESTMENT BANKING            | 11/2020         | 10/2020              | NA - less than 5% |       539968 |
| MARTIN THERIAULT      | VP OPERATIONS, FINANCIAL MARKETS                           | 06/2018         | 12/2009              | NA - less than 5% |       540004 |
| MIGUEL LACASSE        | EVP & MD, CO-HEAD GLOBAL FUNDING & TREASURY                | 11/2020         | 01/1999              | NA - less than 5% |       539864 |
| NIZAR ARAJI           | VP & CHIEF COMPLIANCE OFFICER, FINANCIAL MARKETS           | 06/2020         | 01/2019              | NA - less than 5% |       539996 |
| SEAN ST-JOHN          | EVP & MD, CO-HEAD FIXED INCOME, CURRENCIES & COMMODITIES   | 01/2021         | 12/2020              | NA - less than 5% |       539999 |
| YURY SHMUYLOVICH      | EVP & MD, CO-HEAD GLOBAL FUNDING & TREASURY                | 01/2021         | 12/2020              | NA - less than 5% |       539958 |
| Jean-Francois Tessier | EVP and MD, Hd of CO, Co-Hd of Risk Mgmt Sol and Str Prods | 11/2022         | 04/2002              | NA - less than 5% |       552548 |
| Martin Verschuere     | EVP and MD, Hd of Cur and EQ, Co-Hd of Str Prods           | 11/2022         | 12/2000              | NA - less than 5% |       552592 |

### Schedule B: Explanations

**Description:**
Personal & Commercial (banking services, credit services, financing, investment solutions, insurance), Wealth management (private banking, trust and estate services), Financial Markets (corporate banking, investment banking), and U.S. Specialty Finance and International.

**Records Keeper:**

- **Name:** ICE Data Services Inc.

  - **Address:** 32 Crosby Drive, Bedford, MA, 01730

  - **Effective Date:** 07-05-2016

  - **Arrangement:** —

**Onbehalf:**

- **Name:** JP Morgan Clearing Corp.

  - **Address:** One Metrotech Center North, Brooklyn, NY, 11201

  - **Effective Date:** 08-01-2011

  - **Arrangement:** —

### Execution

**Date:** 03-21-2023

**Name of Applicant:** NATIONAL BANK OF CANADA /FI/

**Signature:** NIZAR ARAJI

**Printed Name:** NIZAR ARAJI

**Title:** VP & CCO, FINANCIAL MARKETS