# EDGAR Filing Document

**Accession Number:** 0001257135
**File Stem:** 0001257135-26-000001
**Filing Date:** 2026-6
**Character Count:** 14420
**Document Hash:** 0b7883685ad97f0a456bc32331f9a406
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001257135-26-000001.hdr.sgml**: 20260623

**ACCESSION NUMBER**: 0001257135-26-000001

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

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20260610

**DATE AS OF CHANGE**: 20260623

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MACQUARIE BANK LTD
- **CENTRAL INDEX KEY:** 0001257135

**ORGANIZATION NAME:**
- **EIN:** 980163788

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00198
- **FILM NUMBER:** 261110437

**BUSINESS ADDRESS:**
- **STREET 1:** 1 ELIZABETH STREET
- **CITY:** SYDNEY, NEW SOUTH WALES
- **STATE:** C3
- **ZIP:** 2000
- **BUSINESS PHONE:** 212-231-1000

**MAIL ADDRESS:**
- **STREET 1:** 1 ELIZABETH STREET
- **CITY:** SYDNEY, NEW SOUTH WALES
- **STATE:** C3
- **ZIP:** 2000

### Attached PDF Documents

**Attachment 1:** `mbl7r.pdf`

_No text found in this document._

**Attachment 2:** `mbllegalopinion.pdf`

_No text found in this document._

**Attachment 3:** `mbllegalopinionclarification.pdf`

_No text found in this document._

**Attachment 4:** `June10AmendmentCoverNote.pdf`

_No text found in this document._

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

### Applicant Information

**Full Applicant Name:** MACQUARIE BANK LTD

**NFA Number:** 240934

**IRS Employer ID No.:** 98-0163788

**CIK:** 0001257135

**UIC:** 4ZHCHI4KYZG2WVRT8631

**Main Address:** 1 ELIZABETH STREET, SYDNEY, NEW SOUTH WALES, C3, 2000

**Mailing Address:** 1 ELIZABETH STREET, SYDNEY, NEW SOUTH WALES, C3, 2000

**Business Telephone:** 212-231-1000

**Contact Employee:**

- **Name:** Jeremy Chaplin

- **Title:** Associate Director

- **Phone:** 904-571-5952

- **Email:** jeremy.chaplin@macquarie.com

**Chief Compliance Officer:**

- **Name:** Stephen Byron

- **Title:** Division Director/Chief Compliance Officer

- **Phone:** 212-231-1340

- **Email:** Stephen.Byron@macquarie.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

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

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board

**Description of Business:**
The principal activity of MBL and its subsidiaries is to act as a financial services provider offering a full range of commercial banking and retail financial services in Australia and selected financial services offshore. MBL is regulated by the Australian Prudential Regulation Authority (APRA) as an Authorized Deposit-taking Institution (ADI). MBL provides a variety of trading, risk management, sales, structuring, financing, market analysis and strategy services across the globe with an underlying specialization in interest rate, commodity or foreign exchange-related institutional trading, marketing, lending, clearing and platform provision.

### 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?:** Yes

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

**Subject to foreign regulation?:** Yes

**Number of Principals:** 16

### Schedule A: Principals

| Name                   | Title or Status                                    | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Jillian R Broadbent    | INDEPENDENT VOTING DIRECTOR                        | 11/2018         | 11/2018              |  |       518914 |
| Philip M Coffey        | INDEPENDENT VOTING DIRECTOR                        | 08/2018         | 08/2018              |  |       451249 |
| Rebecca J McGrath      | INDEPENDENT VOTING DIRECTOR                        | 01/2021         | 01/2021              |  |       536543 |
| Michael Roche          | INDEPENDENT VOTING DIRECTOR                        | 01/2021         | 01/2021              |  |       536581 |
| Nicole G Sorbara       | Chief Operating Officer                            | 01/2013         | 12/1996              |  |       511090 |
| Glenn R Stevens        | INDEPENDENT VOTING DIRECTOR                        | 11/2017         | 11/2017              |  |       510224 |
| Shemara Wikramanayake  | CHIEF EXECUTIVE OFFICER OF MACQUARIE GROUP LIMITED | 08/2018         | 05/1987              |  |       460609 |
| Simon L Wright         | Head of a Business Unit, Division or Function      | 10/1997         | 07/1989              |  |       456278 |
| Stuart Green           | CHIEF EXECUTIVE OFFICER OF MACQUARIE BANK LIMITED  | 07/2021         | 08/2001              |  |       541286 |
| Michelle A Hinchliffe  | INDEPENDENT VOTING DIRECTOR                        | 03/2022         | 03/2022              |  |       547381 |
| Ian M Saines           | INDEPENDENT VOTING DIRECTOR                        | 06/2022         | 06/2022              |  |       549404 |
| Susan J Lloyd-Hurwitz  | INDEPENDENT VOTING DIRECTOR                        | 07/2023         | 07/2023              |  |       557810 |
| David JK Whiteing      | INDEPENDENT VOTING DIRECTOR                        | 09/2023         | 09/2023              | NA - less than 5% |       559152 |
| Wayne S Byres          | INDEPENDENT VOTING DIRECTOR                        | 02/2024         | 02/2024              | NA - less than 5% |       561683 |
| Stephen M Byron        | CHIEF COMPLIANCE OFFICER                           | 11/2024         | 11/2015              | NA - less than 5% |       441968 |
| Francis Pui Cheun Kwok | Chief Financial Officer                            | 05/2026         | 06/1997              | NA - less than 5% |       577727 |

### Schedule B: Explanations

**Description:**
Macquarie Bank Limited provides financial services through its Banking and Financial Services (BFS) and Commodities and Global Markets (CGM) business groups. BFS serves the Australian market and provides retail banking, wealth management, and a full range of deposit, lending, and payment solutions. CGM provides clients with an integrated, end to end offering across global markets including equities, fixed income, foreign exchange, commodities and technology, media, and telecoms.

**Records Keeper:**

- **Name:** Microsoft Corporation

  - **Address:** NE 36th Street, Seattle, WA, 98105

  - **Effective Date:** 04-01-2021

  - **Arrangement:** Cloud and server environment

- **Name:** PageUp

  - **Address:** 91 William St, Melbourne, C3, 3000

  - **Effective Date:** 01-01-2021

  - **Arrangement:** Storage of Employment Applications

- **Name:** British Telecommunications plc

  - **Address:** 1 Braham Street, London, X0, E1 8EE

  - **Effective Date:** 08-31-2023

  - **Arrangement:** Storage of Voice Recording Records

- **Name:** MyComplianceOffice

  - **Address:** 2C Avonbeg, Long Mile Road, Dublin, L2, E1 8EE

  - **Effective Date:** 03-04-2024

  - **Arrangement:** Storage of regulatory records

- **Name:** Shield Financial Compliance Ltd

  - **Address:** 6 Ha-meitar St, Ramat Gan, Tel Aviv-Yafo, L3, 5252800

  - **Effective Date:** 02-22-2024

  - **Arrangement:** Maintains books and records

- **Name:** Google LLC (GCVE)

  - **Address:** 48 Pirrama Road, Sydney, Pyrmont NSW, C3, 2009

  - **Effective Date:** 03-19-2024

  - **Arrangement:** Maintains books and records

- **Name:** Cornerstone OnDemand Limited

  - **Address:** 1601 Cloverfield Blvd, Suite 600 South, Santa Monica, CA, 90404

  - **Effective Date:** 03-08-2024

  - **Arrangement:** Maintains books and records

**Onbehalf:**

- **Name:** J.P. MORGAN SECURITIES LLC

  - **Address:** 383 MADISON AVENUE, New York, NY, 10179

  - **Effective Date:** 12-13-2012

  - **Arrangement:** clearing agent

- **Name:** Euroclear SA

  - **Address:** Koning Albert ll-laan 1, B-1210 Sint-Joost-ten-Node, Belgium, C9, 1210

  - **Effective Date:** 02-01-2020

  - **Arrangement:** custodian

- **Name:** JPMorgan Bank Luxembourg SA

  - **Address:** 6, Route de Treves, L-2633 Senningerberg, Grand Duchy of Luxembourg, N4, 2633

  - **Effective Date:** 11-12-2018

  - **Arrangement:** custodian

- **Name:** JPMorgan Chase NA

  - **Address:** 383 Madison Avenue, New York, NY, 10179

  - **Effective Date:** 12-22-2020

  - **Arrangement:** custodian

- **Name:** Euroclear Bank SA/NV

  - **Address:** 1 Boulevard du Roi Albert II, Brussels, C9, 1210

  - **Effective Date:** 03-21-2003

  - **Arrangement:** custodian

- **Name:** BGC BROKERS LP

  - **Address:** ONE CHURCHILL PLACE, Canary Wharf, London, X0, E14 5RD

  - **Effective Date:** 05-26-2017

  - **Arrangement:** Inter-dealer execution broker

- **Name:** ICAP Equities Asia Limited

  - **Address:** Unit 2902-2909, 99 Queens Road Central, Central, K3, HKG

  - **Effective Date:** 03-27-2015

  - **Arrangement:** Inter-dealer execution broker

- **Name:** TP ICAP MARKETS LIMITED

  - **Address:** 155 Bishopsgate, London, X0, E2M 3TQ

  - **Effective Date:** 01-11-2021

  - **Arrangement:** Inter-dealer execution broker

- **Name:** KEPLER CAPITAL MARKETS SA

  - **Address:** Route de Crassier 11, Eysin, V8, 1262

  - **Effective Date:** 02-01-2015

  - **Arrangement:** Inter-dealer execution broker

- **Name:** KYTE BROKING LIMITED

  - **Address:** 52 Upper Street, London, X0, N1 0QH

  - **Effective Date:** 11-02-2011

  - **Arrangement:** Inter-dealer execution broker

- **Name:** LOUIS CAPITAL MARKETS UK LLP

  - **Address:** 130 Wood Street, London, X0, EC2V 6DL

  - **Effective Date:** 04-15-2014

  - **Arrangement:** Inter-dealer execution broker

- **Name:** MARIANA CAPITAL MARKETS LLP

  - **Address:** 100 Cannon Street, London, X0, EC4N 6EU

  - **Effective Date:** 05-05-2014

  - **Arrangement:** Inter-dealer execution broker

- **Name:** MARIANA UFP LLP

  - **Address:** 100 Cannon Street, London, X0, EC4N 6EU

  - **Effective Date:** 01-11-2018

  - **Arrangement:** Inter-dealer execution broker

- **Name:** SQUARE GLOBAL MARKETS LLP

  - **Address:** 175 Piccadilly, London, X0, W1J 9EN

  - **Effective Date:** 11-20-2014

  - **Arrangement:** Inter-dealer execution broker

- **Name:** SUNRISE BROKERS LLP

  - **Address:** 20 Triton Street, London, X0, NW1 3BF

  - **Effective Date:** 09-01-2018

  - **Arrangement:** Inter-dealer execution broker

- **Name:** TFS Derivatives LTD

  - **Address:** 15 St Botolph Street, London, X0, EC3A 7QX

  - **Effective Date:** 09-24-2007

  - **Arrangement:** Inter-dealer execution broker

- **Name:** Tullett Prebon (securities) Limited

  - **Address:** 135 Bishopgate, London, X0, EC2M 3TP

  - **Effective Date:** 03-24-2009

  - **Arrangement:** Inter-dealer execution broker

- **Name:** VANTAGE CAPITAL MARKETS HK

  - **Address:** 100 Queen's Road Central, Central, K3, HKG

  - **Effective Date:** 01-07-2009

  - **Arrangement:** Inter-dealer execution broker

- **Name:** Vantage Capital Markets London

  - **Address:** 70 St Mary Axe, London, X0, EC3A 8BE

  - **Effective Date:** 09-17-2018

  - **Arrangement:** Inter-dealer execution broker

- **Name:** OTCEX HONG KONG LIMITED

  - **Address:** Unit 1-3, 248 Queen's Road East, Wan Chai, K3, HKG

  - **Effective Date:** 01-27-2014

  - **Arrangement:** Inter-dealer execution broker

- **Name:** HPC SA

  - **Address:** 22 rue des Capucines, Paris, I0, 75002

  - **Effective Date:** 11-26-2021

  - **Arrangement:** Inter-dealer execution broker

- **Name:** Helix Securities LLP

  - **Address:** 22 MANCHESTER SQUARE, London, X0, W1U 3PT

  - **Effective Date:** 12-09-2022

  - **Arrangement:** Inter-dealer execution broker

- **Name:** WallachBeth Capital LLC

  - **Address:** 185 HUDSON STREET, SUITE 1410, Jersey City, NJ, 07311

  - **Effective Date:** 04-23-2024

  - **Arrangement:** Inter-dealer execution broker

**Controlling Entity:**

- **Name:** Macquarie Group Limited

  - **Address:** 1 Elizabeth Street, Sydney, C3, 2000

  - **Effective Date:** 11-13-2007

  - **Arrangement:** Macquarie Group Limited owns 100% of Macquarie B.H. Pty Limited, which owns 100% of Macquarie Bank Limited.

- **Name:** Macquarie B.H. Pty Limited

  - **Address:** 1 Elizabeth Street, Sydney, C3, 2000

  - **Effective Date:** 11-19-2007

  - **Arrangement:** Macquarie Group Limited owns 100% of Macquarie B.H. Pty Limited, which owns 100% of Macquarie Bank Limited.

- **Name:** —

  - **Address:** —

  - **Effective Date:** —

  - **Arrangement:** Executive voting Director of Macquarie Bank Limited and Chief Executive Officer of Macquarie Group

- **Name:** —

  - **Address:** —

  - **Effective Date:** —

  - **Arrangement:** INDEPENDENT VOTING DIRECTOR

- **Name:** —

  - **Address:** —

  - **Effective Date:** —

  - **Arrangement:** INDEPENDENT VOTING DIRECTOR

- **Name:** —

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  - **Arrangement:** INDEPENDENT VOTING DIRECTOR

- **Name:** —

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  - **Arrangement:** INDEPENDENT VOTING DIRECTOR

- **Name:** —

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  - **Effective Date:** —

  - **Arrangement:** Global Chief Operating Officer of Macquarie Bank Limited

- **Name:** —

  - **Address:** —

  - **Effective Date:** —

  - **Arrangement:** INDEPENDENT VOTING DIRECTOR

- **Name:** —

  - **Address:** —

  - **Effective Date:** —

  - **Arrangement:** MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER

- **Name:** —

  - **Address:** —

  - **Effective Date:** —

  - **Arrangement:** INDEPENDENT VOTING DIRECTOR

- **Name:** —

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  - **Arrangement:** INDEPENDENT VOTING DIRECTOR

- **Name:** —

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  - **Arrangement:** INDEPENDENT VOTING DIRECTOR

- **Name:** —

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  - **Arrangement:** INDEPENDENT VOTING DIRECTOR

- **Name:** —

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  - **Arrangement:** INDEPENDENT VOTING DIRECTOR

- **Name:** —

  - **Address:** —

  - **Effective Date:** —

  - **Arrangement:** Chief Financial Officer of Macquarie Bank Limited

### Execution

**Date:** 06-03-2026

**Name of Applicant:** MACQUARIE BANK LTD

**Signature:** Stephen Byron

**Printed Name:** Stephen Byron

**Title:** Division Director/Chief Compliance Officer