# EDGAR Filing Document

**Accession Number:** 0001343079
**File Stem:** 0001343079-23-000006
**Filing Date:** 2023-2
**Character Count:** 341226
**Document Hash:** 55e1bd8e71023ec0fb75347ed3880e76
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001343079-23-000006.hdr.sgml**: 20230302

**ACCESSION NUMBER**: 0001343079-23-000006

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

**PUBLIC DOCUMENT COUNT**: 12

**FILED AS OF DATE**: 20230227

**DATE AS OF CHANGE**: 20230302

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CREDIT SUISSE INTERNATIONAL
- **CENTRAL INDEX KEY:** 0001343079
- **IRS NUMBER:** 133620321

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00192
- **FILM NUMBER:** 23696768

**BUSINESS ADDRESS:**
- **STREET 1:** ONE CABOT SQUARE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** E14 4QJ
- **BUSINESS PHONE:** 44 207888 1600

**MAIL ADDRESS:**
- **STREET 1:** ONE CABOT SQUARE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** E14 4QJ

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Credit Suisse First Boston International
- **DATE OF NAME CHANGE:** 20051101

### Attached PDF Documents

**Attachment 1:** `form7r02272023.pdf`

# National Futures Association

Firm Application (7R) Filed December 13, 2012

Page 1

OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

## 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 13, 2012

Page 2

OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

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 13, 2012

Page 3

OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

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 13, 2012

Page 4

OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

## 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 13, 2012

Page 5

OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

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 13, 2012

Page 6

OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

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 13, 2012

Page 7

OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

- 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 13, 2012

Page 8

OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

# 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 13, 2012

Page 9

OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

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 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

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 13, 2012

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NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

Form 8-W 0.1 hours.

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

## Registration Categories

NFA MEMBER

SWAP DEALER

## Membership Information

Not applicable.

# National Futures Association

Firm Application (7R) Filed December 13, 2012

Page 13

OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

## Business Information

Business Address 1 CABOT SQUARE
LONDON E14 4QJ
UNITED KINGDOM

Phone Number 44 207888 1600

Fax Number Not provided.

E-mail Address MARK.HART@CREDIT-SUISSE.COM

Website / URL WWW.CREDIT-SUISSE.COM

Federal EIN 2500199

CRD ID Not provided.

Form of Organization OTHER

Location UNITED KINGDOM

Other Names CREDIT SUISSE FINANCIAL PRODUCTS
DBA NOT IN USE

CREDIT SUISSE FIRST BOSTON INTERNATIONAL
DBA NOT IN USE

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

## Location of Business Records

Business Records Address

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

U.S. Address for Production of Business Records

CREDIT SUISSE SECURITIES (USA) LLC

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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**OMB Number** 3038-0072

**NFA ID** 0443823 CREDIT SUISSE INTERNATIONAL

**Submitted By** CASALEF FRANCINE CASALE

### Holding Company Information

Name: CREDIT SUISSE AG
10% or more interest? YES

Name: CREDIT SUISSE GROUP AG
10% or more interest? YES

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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**OMB Number** 3038-0072

**NFA ID** 0443823 CREDIT SUISSE INTERNATIONAL

**Submitted By** CASALEF FRANCINE CASALE

## Regulator Information

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

FSA

### U.S. Regulator(s)

THE SECURITIES AND EXCHANGE COMMISSION

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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Submitted By CASALEF FRANCINE CASALE

## 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?

YES

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

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Submitted By CASALEF FRANCINE CASALE

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?

NO

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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Submitted By CASALEF FRANCINE CASALE

## 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?

YES

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

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 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

## 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 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

## Contact Information

Registration Contact

FRANCINE CASALE

ASSISTANT VICE PRESIDENT

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-9635

Fax: 212-322-0272

E-mail: FRANCINE.CASALE@CREDIT-SUISSE.COM

Membership Contact

FRANCINE CASALE

ASSISTANT VICE PRESIDENT

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-9635

Fax: 212-322-0272

E-mail: FRANCINE.CASALE@CREDIT-SUISSE.COM

Accounting Contact

CHRISTOPHER CARPMAEL

MANAGING DIRECTOR

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 3713

Fax: 44 207888 0908

E-mail: CHRIS.CARPMAEL@CREDIT-SUISSE.COM

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

# Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

# Compliance Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

# Chief Compliance Officer

MARK HART

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

Enforcement/Compliance Communication Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

FRANCINE CASALE

ASSISTANT VICE PRESIDENT

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-9635

Fax: 212-322-0272

E-mail: FRANCINE.CASALE@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

## 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 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

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 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

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 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

## Confidential Matter Information

### Criminal Disclosures

Matter Name DISTRICT COURT OF TOKYO - MARCH 2001

Matter Details CRIMINAL CASE # 1: -

NAME OF ENTITY: CSFP, TOKYO BRANCH

REGULATOR: DISTRICT COURT OF TOKYO

JURISDICTION: JAPAN

DATE: MARCH 2001

SUMMARY:

IN MARCH OF 2001, THE TOKYO DISTRICT COURT FOUND CREDIT SUISSE FINANCIAL PRODUCTS (CSFP) NOW CREDIT SUISSE INTERNATIONAL (CSI) GUILTY OF VIOLATING SECURITIES REGULATIONS, AND FOR OBSTRUCTING A GOVERNMENT INVESTIGATION.

THE COURT FOUND THAT THE BANK HAD TRIED TO HIDE DOCUMENTS FROM THE FSA WHEN THEY TRIED TO EXAMINE THE PREMISES. CSFP STATED THAT JUNIOR STAFF PANICKED AND DID NOT HAND OVER DOCUMENTATION REQUESTED BY THE REGULATOR AS REQUESTED.

CREDIT SUISSE GROUP (PARENT) STATED THAT IT REGRETS THE ACTIONS OF CERTAIN FORMER EMPLOYEES OF THE TOKYO BRANCH OF CSFP, BUT HAS MAINTAINED THAT IT DOES NOT BELIEVE THE CORPORATION SHOULD HAVE BEEN FOUND GUILTY SOLELY FOR THE ACTIONS COMMITTED BY A FEW FORMER BRANCH EMPLOYEES.

THE TOKYO DISTRICT COURT IMPOSED A FINE OF 40 MILLION YEN, ($333,500).

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

## Regulatory Disclosures

Matter Name CNMV NOVEMBER 1997 - IBEX - SPAIN (R1)

Matter Details REGULATORY CASE # 1:

NAME OF ENTITY: CSFP, UK BRANCH

REGULATOR: COMISION NACIONAL DEL MARCADO DE VALORES (CNMV)

JURISDICTION: SPAIN

DATE: NOVEMBER, 1997

SUMMARY:

THE SPANISH STOCK MARKET, COMISION NACIONAL DEL MARCADO DE VALORES (CNMV) FINED CREDIT SUISSE FINANCIAL PRODUCTS 285 MILLION PESETAS (1.9 MILLION) STATING THAT THE FIRM MANIPULATED SHARE PRICES THAT AFFECTED IBEX STOCK INDEX IN SPAIN.

Matter Name FSA AUGUST 1999 - CSFP TOKYO (R2)

Matter Details REGULATORY CASE 2:

NAME OF ENTITY: CSFP, TOKYO BRANCH

REGULATOR: FINANCIAL SUPERVISORY AGENCY (FSA)

JURISDICTION: JAPAN

DATE: AUGUST, 1999

SUMMARY: THE CSFP, TOKYO BRANCH WAS FOUND TO HAVE CARRIED OUT THE FOLLOWING ACTIVITIES:

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

A) CONDUCTED SYSTEMATIC EVASIONS AND OBSTRUCTIONS OF ON-SITE INSPECTIONS BY THE FINANCIAL SUPERVISORY AGENCY. SUCH IS CONSIDERED TO CONSTITUTE AN "ACT OF EVADING AND OBSTRUCTING THE INSPECTIONS" STATED IN THE BANKING LAW ARTICLE 63-3;

B) CONDUCTED BUSINESSES WHICH DEEPLY UNDERMINE THE SOUNDNESS OF THE JAPANESE FINANCIAL MARKETS AND FINANCIAL INSTITUTIONS THROUGH VOLUMINOUS REPETITIVE AND CONTINUOUS PRODUCTIONS AND SALES OF FINANCIAL PRODUCTS EXTREMELY INAPPROPRIATE FROM THE STAND POINT OF ADEQUATE DISCLOSURE OF ITS CUSTOMERS' FINANCIAL CONDITIONS. SUCH CONSTITUTES AN "ACT DETRIMENTAL TO PUBLIC INTERESTS" STATED IN THE BANKING LAW ARTICLE 27;

C) VIOLATED THE BANKING LAW ARTICLE 12, THE SECURITIES AND EXCHANGE LAW ARTICLE 65 AND OTHER RELATED LAWS BY ACTIVELY SOLICITING SUCH PRODUCTS AS STOCK PRICE LINKED BONDS THROUGH COMPILING AND EXPLAINING PROPOSALS BY THE BANK ITSELF.

BASED ON THE ABOVE FINDINGS, THE FOLLOWING ADMINISTRATIVE ACTIONS ARE TAKEN:

(1) REVOCATION OF BANK LICENSE WHICH TOOK EFFECT ON NOVEMBER 30, 1999 (PURSUANT TO THE BANKING LAW ARTICLE 27);

(2) SUSPENSION OF THE BUSINESS OF THE BRANCH FOR THE PERIOD FROM AUGUST 5, 1999 TO NOVEMBER 29, 1999, IN WHICH UNWINDING OF EXISTING TRANSACTIONS AND OPERATION INCIDENTAL THERETO ARE EXCLUDED FROM THE SCOPE OF THE SUSPENSION. (PURSUANT TO THE BANKING LAW ARTICLE 27).

Matter Name SFA - DECEMBER 2001 - CSFB INTERNATIONAL - DECEMBER 2001 (R3)

Matter Details REGULATORY CASE 3:

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

NAME OF ENTITY: CREDIT SUISSE FIRST BOSTON INTERNATIONAL

REGULATOR: SECURITIES AND FUTURES AUTHORITY LIMITED

JURISDICTION: UNITED KINGDOM

DATE: DECEMBER 20 2001

SUMMARY: IN OCTOBER 2000 SFA INSTITUTED DISCIPLINARY PROCEEDINGS AGAINST CREDIT SUISSE FIRST BOSTON INTERNATIONAL ("CSFB INTERNATIONAL"). THE PROCEEDINGS AROSE FROM CSFB INTERNATIONAL'S FAILURE TO ADEQUATELY SUPERVISE AND CONTROL COMPLEX DERIVATIVE TRANSACTIONS CONDUCTED BY AN EMPLOYEE WITH TWO CUSTOMERS OF THE FIRM. THE PROCEEDINGS AGAINST CSFB INTERNATIONAL WERE SETTLED BEFORE N2 WITH THE FOLLOWING OUTCOME:

- CSFB INTERNATIONAL HAS BEEN REPRIMANDED AND FINED £400,000 AND REQUIRED TO PAY A CONTRIBUTION OF £30,600 TOWARDS SFA'S COSTS

AS A RESULT, CSFB INTERNATIONAL HAS ACCEPTED THAT THIS WAS A BREACH OF FSA PRINCIPLE 9 BY FAILING TO ORGANIZE ITS INTERNAL AFFAIRS IN A RESPONSIBLE MANNER.

Matter Name FSA - CSFB INTERNATIONAL - DECEMBER 2002 (R4)

Matter Details REGULATORY CASE 4:

NAME OF ENTITY: CREDIT SUISSE FIRST BOSTON INTERNATIONAL

REGULATOR: FINANCIAL SERVICES AUTHORITY

JURISDICTION: UNITED KINGDOM

DATE: DECEMBER 11, 2002
SUMMARY: BETWEEN APRIL 1995 AND DECEMBER 1998, CREDIT SUISSE FINANCIAL PRODUCTS (NOW KNOWN AS

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

CREDIT SUISSE FIRST BOSTON INTERNATIONAL ("CSFP"/"THE COMPANY") ENGAGED IN CONDUCT DESIGNED DELIBERATELY TO MISLEAD THE JAPANESE REGULATORY AND TAX AUTHORITIES AS TO THE SCOPE OF THE BUSINESS BEING CONDUCTED BY IT, OR ON ITS BEHALF, IN JAPAN AND FAILED TO ORGANIZE AND CONTROL ITS ACTIVITIES IN JAPAN IN A RESPONSIBLE MANNER. CSFP ADMITS TO THESE MATTERS AND HAS AGREED TO PAY A FINANCIAL PENALTY OF £4,000,000.

THE FSA CONSIDERS THAT CSFP BREACHED FORMER PRINCIPLES 9 AND 10 AND HAS THEREBY COMMITTED AN ACT OF MISCONDUCT WITHIN THE MEANING OF RULE 7-23A(3) OF SFA'S RULES.

Matter Name

FSA - UK - CREDIT SUISSE INTERNATIONAL - AUGUST 2008 (R5)

Matter Details

REGULATORY CASE 5:

NAME OF ENTITY: CREDIT SUISSE INTERNATIONAL

REGULATOR: FINANCIAL SERVICES AUTHORITY

JURISDICTION: UNITED KINGDOM

DATE: AUGUST 13, 2008

SUMMARY: BETWEEN 30 SEPTEMBER 2007 AND 19 FEBRUARY 2008, THE UK OPERATIONS OF CREDIT SUISSE BREACHED PRINCIPLE 2 OF THE FSA'S PRINCIPLES FOR BUSINESS BY FAILING TO CONDUCT THEIR BUSINESS WITH DUE SKILL, CARE AND DILIGENCE AND BREACHED PRINCIPLE 3 OF THE FSA'S PRINCIPLES FOR BUSINESS BY FAILING TO TAKE REASONABLE CARE TO ORGANIZE AND CONTROL THEIR AFFAIRS RESPONSIBLY AND EFFECTIVELY, WITH ADEQUATE RISK MANAGEMENT SYSTEMS.

IN BREACH OF PRINCIPLE 2, THE UK OPERATIONS OF CREDIT SUISSE FAILED TO USE THEIR CONTROLS OVER A HIGHLY COMPLEX BUSINESS EFFECTIVELY. THEY FAILED ADEQUATELY TO SUPERVISE THE COMPLEX BUSINESS OF

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

THE SCG WHICH REQUIRED CLOSE SUPERVISION AND DID NOT TRANSLATE IDENTIFIED CONCERNS ABOUT THE PRICING OF CERTAIN ASSET-BACKED POSITIONS WITHIN THE SCG INTO TANGIBLE OR TIMELY ACTIONS. STATUTORY AND REGULATORY PROVISIONS

THESE BREACHES RELATE TO THE PRICING OF CERTAIN ASSET-BACKED SECURITIES HELD BY THE STRUCTURED CREDIT GROUP ("THE SCG") WITHIN THE INVESTMENT BANKING DIVISION OF CREDIT SUISSE. CREDIT SUISSE ANNOUNCED ON 19 FEBRUARY 2008 THAT IT HAD IDENTIFIED EVIDENCE OF MISMARKINGS AND PRICING ERRORS BY A SMALL NUMBER OF TRADERS IN THE SCG, AND THAT IT WAS THEREFORE REPRICING CERTAIN ASSET-BACKED POSITIONS. A SIGNIFICANT PROPORTION OF THE REPRICING WAS ATTRIBUTABLE TO POSITIONS HELD BY THE UK OPERATIONS OF CREDIT SUISSE.

IN BREACH OF PRINCIPLE 3, THE UK OPERATIONS OF CREDIT SUISSE FAILED TO PUT ADEQUATE SYSTEMS AND CONTROLS IN PLACE TO DETECT IN A TIMELY MANNER THE MISMARKS AND PRICING ERRORS THAT LED TO THE REPRICING. THEY FAILED TO RECOGNISE UNTIL MID-FEBRUARY 2008 THAT CERTAIN OF THE SCG'S ASSET-BACKED POSITIONS WERE SUBSTANTIALLY OVER-VALUED.

ACCORDINGLY, FSA IMPOSES A FINANCIAL PENALTY ON THE UK OPERATIONS OF CREDIT SUISSE IN THE AMOUNT OF £5.6 MILLION.

Matter Name BRAZILIAN SECURITIES COMMISSION - CRDTI SUISSE INTERNATIONAL - OCTOBER 2009 (R6)

Matter Details REGULATORY CASE 6:

NAME OF ENTITY: CREDIT SUISSE INTERNATIONAL

REGULATOR: BRAZILIAN SECURITIES COMMISSION

JURISDICTION: BRAZIL

DATE: OCTOBER 2009

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

SUMMARY:

ON OCTOBER 23, 2007 CVM, THE BRAZILIAN SECURITIES MARKET REGULATOR, CONTACTED CREDIT SUISSE INTERNATIONAL ("CSI") IN BRAZIL REGARDING AN INVESTIGATION INTO INSIDER TRADING OF EMBRAER, A BRAZILIAN AIRCRAFT MAKER. ON DECEMBER 10, 2005 CS BRAZIL WAS ENGAGED BY ONE OF THE SHAREHOLDERS OF EMBRAER TO ACT AS ITS FINANCIAL ADVISOR WITH REGARD TO A PLANNED RESTRUCTURING OF THE COMPANY. APPARENTLY INFORMATION ABOUT THE PLANNED RESTRUCTURING LEAKED TO THE MARKET, RESULTING IN AN INCREASE OF TRADING ACTIVITIES AND SHARE PRICES BETWEEN DECEMBER 2005 AND JANUARY 2006, WHEN THE PROPOSED RESTRUCTURING WAS OFFICIALLY INFORMED TO THE SHAREHOLDERS. DURING THIS TIME FRAME, CSI PURCHASED EMBRAER SHARES AT THE SÃO PAULO STOCK EXCHANGE - BOVESPA, SUBSTANTIALLY INCREASING ITS LONG POSITION IN SUCH SECURITIES. ON OCTOBER 20, 2009 CSI AND THE BRAZILIAN SECURITIES REGULATOR (CVM) AGREED TO SETTLE THE INVESTIGATION. CSI AGREED TO PAY BRL 19.2 MM TO CVM (APPROX $11 MILLION USD AT THE THEN PREVAILING RATES). THE SETTLEMENT AGREEMENT WAS EXECUTED BY CS ON JAN. 11, 2010.

Matter Name

FSA - (UK) CREDIT SUISSE INTERNATIONAL - APRIL 2010 - (R7)

Matter Details

REGULATORY CASE 7:

NAME OF ENTITY: CREDIT SUISSE INTERNATIONAL

REGULATOR: FINANCIAL SERVICES AUTHORITY

JURISDICTION: UNITED KINGDOM

DATE: APRIL 8, 2010

SUMMARY: BETWEEN 5 NOVEMBER 2007 AND 20 NOVEMBER 2008, CREDIT SUISSE BREACHED CHAPTER 17 OF THE SUPERVISION MANUAL, WHICH IS PART OF THE FSA HANDBOOK (SUP 17) IN THAT IT FAILED TO SUBMIT ACCURATE TRANSACTION REPORTS IN RESPECT OF APPROXIMATELY 40

# National Futures Association

Firm Application (7R) Filed December 13, 2012

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OMB Number 3038-0072

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted By CASALEF FRANCINE CASALE

MILLION TRANSACTIONS.

ACCORDINGLY, THE FSA IMPOSES A FINANCIAL PENALTY ON THE FIRM IN THE AMOUNT OF £1.75 MILLION.

Matter Name BRAZILIAN SECURITIES COMMISSION - CREDIT SUISSE INTERNATIONAL - BRAZIL - DECEMBER 2010 (R13)

Matter Details REGULATORY CASE 13:

NAME OF ENTITY: CREDIT SUISSE INTERNATIONAL

REGULATOR: BRAZILIAN SECURITIES COMMISSION

JURISDICTION: BRAZIL

DATE: DECEMBER 2010

SUMMARY:

THIS IS AN INSIDER TRADING INVESTIGATION INITIATED BY THE BRAZILIAN SECURITIES REGULATOR AGAINST CS INTERNATIONAL. ON NOVEMBER 30, 2010 CS INTERNATIONAL AND ANOTHER CS ENTITY, CS PROPRIO FUND WERE FINED ~USD 15 MILLION FOR INSIDER TRADING. WE APPEALED THE DECISION AND THE CASE IS PENDING DECISION.

Amendment 1 and 2 - June 10, 2013

9/30/21, 8:50 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

FIRM REGULATORY DISCLOSURE QUESTION I CHANGED

QUESTION: 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?

ANSWER: YES

FILED BY: CASALEF

FILED ON: 6/10/2013 1:31:00 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/eReg/View/PrintDetail.asp?changeTypeCode=1019&formSeqNum=752582&appendChangeText=I+CHANGED&changeTy... 1/1

9/30/21, 8:51 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED NO

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | NO |
| FILED BY: | CASALEF |
| FILED ON: | 6/10/2013 1:31:00 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/eReg/View/PrintDetail.asp?changeTypeCode=1078&formSeqNum=752583&appendChangeText=NO&changeTypeDesc=F... 1/1

Amendments 3, 4 and 5 - November 22, 2013

9/30/21, 8:53 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | YES |
| FILED BY: | CASALEF |
| FILED ON: | 11/22/2013 9:58:22 AM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/eReg/View/PrintDetail.asp?changeTypeCode=1078&formSeqNum=791046&appendChangeText=YES&changeTypeDesc=... 1/1

9/30/21, 8:54 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

FIRM REGULATORY DISCLOSURE QUESTION H CHANGED

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

ANSWER: YES

FILED BY: CASALEF

FILED ON: 11/22/2013 9:59:41 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/eReg/View/PrintDetail.asp?changeTypeCode=1019&formSeqNum=791047&appendChangeText=H+CHANGED&changeT... 1/1

9/30/21, 8:55 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | YES |
| FILED BY: | CASALEF |
| FILED ON: | 11/22/2013 9:59:41 AM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/eReg/View/PrintDetail.asp?changeTypeCode=1078&formSeqNum=791048&appendChangeText=YES&changeTypeDesc=... 1/1

Amendments 6 and 7 - May 15, 2014

9/30/21, 8:55 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

| FIRST NAME: | FRANCINE |
| --- | --- |
| LAST NAME: | CASALE |
| TITLE: | ASSISTANT VICE PRESIDENT |
| STREET ADDRESS 1: | 11 MADISON AVENUE |
| STREET ADDRESS 2: |  |
| STREET ADDRESS 3: |  |
| CITY: | NEW YORK |
| STATE: | NEW YORK |
| PROVINCE: |  |
| COUNTRY: | UNITED STATES |
| ZIP CODE: | 10010 |
| PHONE NUMBER: | 212-538-9635 |
| FAX NUMBER: | 212-322-0272 |
| E-MAIL ADDRESS: | FRANCINE.CASALE@CREDIT-SUISSE.COM |
| FILED BY: | BONNETL1 |
| FILED ON: | 5/15/2014 4:45:42 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/eReg/View/PrintDetail.asp?changeTypeCode=1076&formSeqNum=831661&appendChangeText=DELETED&changeType... 1/1

# National Futures Association

Business Locations (3R)

Page 1

Filed May 15, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By LORRAINE BONNET

User ID BONNETL1

## Business Information

Business Address 1 CABOT SQUARE
LONDON E14 4QJ
UNITED KINGDOM

Phone Number 44 207888 1600

Fax Number Not provided.

E-mail Address MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 2

Filed May 15, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By LORRAINE BONNET

User ID BONNETL1

## Location of Business Records

Business Records Address

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

U.S. Address for Production of Business Records

CREDIT SUISSE SECURITIES (USA) LLC

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed May 15, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By LORRAINE BONNET

User ID BONNETL1

## Contact Information

Registration Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Membership Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Accounting Contact

CHRISTOPHER CARPMAEL

MANAGING DIRECTOR

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 3713

Fax: 44 207888 0908

E-mail: CHRIS.CARPMAEL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed May 15, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By LORRAINE BONNET

User ID BONNETL1

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

### Chief Compliance Officer

MARK HART

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 5

Filed May 15, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By LORRAINE BONNET

User ID BONNETL1

Enforcement/Compliance Communication Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-325-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed May 15, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By LORRAINE BONNET

User ID BONNETL1

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

Amendment 8 - July 14, 2014

# National Futures Association

Business Locations (3R)

Page 1

Filed July 14, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Business Information

Business Address 1 CABOT SQUARE
LONDON E14 4QJ
UNITED KINGDOM

Phone Number 44 207888 1600

Fax Number Not provided.

E-mail Address MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 2

Filed July 14, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Location of Business Records

Business Records Address

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

U.S. Address for Production of Business Records

CREDIT SUISSE SECURITIES (USA) LLC

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed July 14, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Contact Information

Registration Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Membership Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Accounting Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed July 14, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

### Chief Compliance Officer

MARK HART

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 5

Filed July 14, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

Enforcement/Compliance Communication Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-325-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed July 14, 2014

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

Amendment 9 - January 9, 2015

# National Futures Association

Business Locations (3R)

Page 1

Filed January 09, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Business Information

Business Address 1 CABOT SQUARE
LONDON E14 4QJ
UNITED KINGDOM

Phone Number 44 207888 1600

Fax Number Not provided.

E-mail Address MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 2

| Filed | January 09, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

---

## Location of Business Records

### Business Records Address

1 CABOT SQUARE  
LONDON E14 4QJ  
UNITED KINGDOM

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

CREDIT SUISSE SECURITIES (USA) LLC  
11 MADISON AVENUE  
NEW YORK, NY 10010  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed January 09, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Contact Information

Registration Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Membership Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Accounting Contact

JASON FORRESTER

MANAGING DIRECTOR

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 0754

E-mail: JASON.FORRESTER@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed January 09, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

### Chief Compliance Officer

MARK HART

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 5

Filed January 09, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

Enforcement/Compliance Communication Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-325-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed January 09, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

Amendment 10 - April 14, 2015

# National Futures Association

Business Locations (3R)

Page 1

Filed April 14, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Business Information

| Business Address | 1 CABOT SQUARE LONDON E14 4QJ UNITED KINGDOM |
| --- | --- |

Phone Number 44 207888 1600

Fax Number Not provided.

E-mail Address MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 2

Filed April 14, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Location of Business Records

Business Records Address

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

U.S. Address for Production of Business Records

CREDIT SUISSE SECURITIES (USA) LLC

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed April 14, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Contact Information

Registration Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Membership Contact

SEAN DRISCOLL

DIRECTOR

11 MADISON AVENUE

24TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Accounting Contact

JASON FORRESTER

MANAGING DIRECTOR

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 0754

E-mail: JASON.FORRESTER@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed April 14, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

## Compliance Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

## Chief Compliance Officer

MARK HART

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

| Business Locations (3R) |  |  | Page 5 |
| --- | --- | --- | --- |
| Filed | April 14, 2015 | OMB Number | 3038-0072 |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

Enforcement/Compliance Communication Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

1 MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

SEAN DRISCOLL

DIRECTOR

1 MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-325-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed April 14, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

Amendments 11 and 12 - May 13, 2015

# National Futures Association

Business Locations (3R)

Page 1

Filed May 13, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Business Information

Business Address

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone Number

44 207888 1600

Fax Number

Not provided.

E-mail Address

Not provided.

# National Futures Association

Business Locations (3R)

Page 2

| Filed | May 13, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

---

## Location of Business Records

### Business Records Address

1 CABOT SQUARE  
LONDON E14 4QJ  
UNITED KINGDOM

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

CREDIT SUISSE SECURITIES (USA) LLC  
11 MADISON AVENUE  
NEW YORK, NY 10010  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed May 13, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Contact Information

Registration Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9 TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Membership Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Accounting Contact

JASON FORRESTER

MANAGING DIRECTOR

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 0754

E-mail: JASON.FORRESTER@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed May 13, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

JOSEPH AJIBESIN

VICE PRESIDENT

ONE MADISON AVE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212 325 6610

E-mail: JOSEPH.AJIBESIN@CREDIT-SUISSE.COM

### Chief Compliance Officer

MARK HART

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 5

Filed May 13, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Enforcement/Compliance Communication Contact

SEAN DRISCOLL

DIRECTOR

1 MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-325-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

## Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

1 MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

## Enforcement/Compliance Communication Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed May 13, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

# National Futures Association

Business Locations (3R)

Page 1

Filed May 13, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Business Information

Business Address

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone Number

44 207888 1600

Fax Number

Not provided.

E-mail Address

Not provided.

# National Futures Association

Business Locations (3R)

Page 2

| Filed | May 13, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

---

## Location of Business Records

### Business Records Address

1 CABOT SQUARE  
LONDON E14 4QJ  
UNITED KINGDOM

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

CREDIT SUISSE SECURITIES (USA) LLC  
11 MADISON AVENUE  
NEW YORK, NY 10010  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed May 13, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Contact Information

Registration Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Membership Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Accounting Contact

JASON FORRESTER

MANAGING DIRECTOR

17 COLUMBUS COURTYARD

LONDON E14 4DA

UNITED KINGDOM

Phone: 44 20 7883 0754

E-mail: JASON.FORRESTER@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed May 13, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

JOSEPH AJIBESIN

VICE PRESIDENT

ONE MADISON AVE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212 325 6610

E-mail: JOSEPH.AJIBESIN@CREDIT-SUISSE.COM

### Chief Compliance Officer

MARK HART

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 5

Filed May 13, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-325-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed May 13, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

Amendment 13 - May 20, 2015

# National Futures Association

Business Locations (3R)

Page 1

| Filed | May 20, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

---

## Business Information

| Business Address | 1 CABOT SQUARE LONDON E14 4QJ UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 207888 1600 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations (3R)

Page 2

| Filed | May 20, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

---

## Location of Business Records

### Business Records Address

1 CABOT SQUARE  
LONDON E14 4QJ  
UNITED KINGDOM

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

CREDIT SUISSE SECURITIES (USA) LLC  
11 MADISON AVENUE  
NEW YORK, NY 10010  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed May 20, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Contact Information

Registration Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Membership Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Accounting Contact

JASON FORRESTER

MANAGING DIRECTOR

17 COLUMBUS COURTYARD

LONDON E14 4DA

UNITED KINGDOM

Phone: 44 20 7883 0754

E-mail: JASON.FORRESTER@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed May 20, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

JOSEPH AJIBESIN

VICE PRESIDENT

ONE MADISON AVE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212 325 6610

E-mail: JOSEPH.AJIBESIN@CREDIT-SUISSE.COM

### Chief Compliance Officer

MARK HART

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

# National Futures Association

| Business Locations (3R) |  |  | Page 5 |
| --- | --- | --- | --- |
| Filed | May 20, 2015 | OMB Number | 3038-0072 |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

Enforcement/Compliance Communication Contact

MARK HART

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207888 4681

E-mail: MARK.HART@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-325-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed May 20, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

Enforcement/Compliance Communication Contact

JOSEPH AJIBESIN

VICE PRESIDENT

ONE MADISON AVE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 1 212 325 6610

E-mail: JOSEPH.AJIBESIN@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 7

Filed May 20, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

Amendment 14 - June 1, 2015

# National Futures Association

Business Locations (3R)

Page 1

| Filed | June 01, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

---

## Business Information

| Business Address | 1 CABOT SQUARE LONDON E14 4QJ UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 207888 1600 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations (3R)

Page 2

| Filed | June 01, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

---

## Location of Business Records

### Business Records Address

1 CABOT SQUARE  
LONDON E14 4QJ  
UNITED KINGDOM

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

CREDIT SUISSE SECURITIES (USA) LLC  
11 MADISON AVENUE  
NEW YORK, NY 10010  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed June 01, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Contact Information

Registration Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Membership Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Accounting Contact

JASON FORRESTER

MANAGING DIRECTOR

17 COLUMBUS COURTYARD

LONDON E14 4DA

UNITED KINGDOM

Phone: 44 20 7883 0754

E-mail: JASON.FORRESTER@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed June 01, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

JOSEPH AJIBESIN

VICE PRESIDENT

ONE MADISON AVE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212 325 6610

E-mail: JOSEPH.AJIBESIN@CREDIT-SUISSE.COM

### Chief Compliance Officer

JOSEPH SCORDATO

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE MADISON AVE

NEW YORK, NY 10010

UNITED STATES

Phone: 212 325 9895

E-mail: JOSEPH.SCORDATO@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 5

Filed June 01, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

Enforcement/Compliance Communication Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-325-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

JOSEPH AJIBESIN

VICE PRESIDENT

ONE MADISON AVE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 1 212 325 6610

E-mail: JOSEPH.AJIBESIN@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

JOSEPH SCORDATA

CHIEF COMPLIANCE OFFICER

ONE MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

Phone: 212 325 9895

E-mail: JOSEPH.SCORDATO@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed June 01, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 7

Filed June 01, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

Amendments 15 and 16 - November 4, 2015

10/7/21, 6:34 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

| FIRST NAME: | JOSEPH |
| --- | --- |
| LAST NAME: | AJIBESIN |
| TITLE: | VICE PRESIDENT |
| STREET ADDRESS 1: | ONE MADISON AVE |
| STREET ADDRESS 2: | 9TH FLOOR |
| STREET ADDRESS 3: |  |
| CITY: | NEW YORK |
| STATE: | NEW YORK |
| PROVINCE: |  |
| COUNTRY: | UNITED STATES |
| ZIP CODE: | 10010 |
| PHONE NUMBER: | 1 212 325 6610 |
| FAX NUMBER: |  |
| E-MAIL ADDRESS: | JOSEPH.AJIBESIN@CREDIT-SUISSE.COM |
| FILED BY: | GRANTT2 |
| FILED ON: | 11/4/2015 1:14:25 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1076&formSeqNum=927574&appendChangeText=DELETED&changeTypeD... 1/1

# National Futures Association

Business Locations (3R)

Page 1

Filed

November 04, 2015

OMB Number

3038-0072

Registrant

CREDIT SUISSE INTERNATIONAL

NFA ID

0443823

Submitted By

TRISHA GRANT

User ID

GRANTT2

## Business Information

Business Address

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone Number

44 207888 1600

Fax Number

Not provided.

E-mail Address

Not provided.

# National Futures Association

Business Locations (3R)

Page 2

Filed

November 04, 2015

OMB Number

3038-0072

Registrant

CREDIT SUISSE INTERNATIONAL

NFA ID

0443823

Submitted By

TRISHA GRANT

User ID

GRANTT2

## Location of Business Records

Business Records Address

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

U.S. Address for Production of Business Records

CREDIT SUISSE SECURITIES (USA) LLC

11 MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed

November 04, 2015

OMB Number

3038-0072

Registrant

CREDIT SUISSE INTERNATIONAL

NFA ID

0443823

Submitted By

TRISHA GRANT

User ID

GRANTT2

## Contact Information

Registration Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Membership Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Accounting Contact

JASON FORRESTER

MANAGING DIRECTOR

17 COLUMBUS COURTYARD

LONDON E14 4DA

UNITED KINGDOM

Phone: 44 20 7883 0754

E-mail: JASON.FORRESTER@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed November 04, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

# Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

# Compliance Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

# Chief Compliance Officer

JOSEPH SCORDATO

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE MADISON AVE

NEW YORK, NY 10010

UNITED STATES

Phone: 212 325 9895

E-mail: JOSEPH.SCORDATO@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 5

Filed

November 04, 2015

OMB Number

3038-0072

Registrant

CREDIT SUISSE INTERNATIONAL

NFA ID

0443823

Submitted By

TRISHA GRANT

User ID

GRANTT2

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-325-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

JOSEPH SCORDATA

CHIEF COMPLIANCE OFFICER

ONE MADISON AVENUE

NEW YORK, NY 10010

UNITED STATES

Phone: 212 325 9895

E-mail: JOSEPH.SCORDATO@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed November 04, 2015

OMB Number 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

Amendment 17 - November 18, 2015

# National Futures Association

Part 30.5 Exemption

Page 1

Filed November 18, 2015

OMB Number 3038-0072

Applicant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

# 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

Part 30.5 Exemption

Page 2

Filed November 18, 2015

OMB Number 3038-0072

Applicant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

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

Part 30.5 Exemption

Page 3

Filed November 18, 2015

OMB Number 3038-0072

Applicant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

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

Part 30.5 Exemption

Page 4

| Filed | November 18, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Applicant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

---

Form 8-W 0.1 hours.

# National Futures Association

Part 30.5 Exemption

Page 5

Filed

November 18, 2015

OMB Number

3038-0072

Applicant

CREDIT SUISSE INTERNATIONAL

NFA ID

0443823

Submitted By

TRISHA GRANT

User ID

GRANTT2

## Exemption Categories

INTRODUCING BROKER

# National Futures Association

Part 30.5 Exemption

Page 6

Filed November 18, 2015

OMB Number 3038-0072

Applicant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

# Business Information

Business Address 1 CABOT SQUARE
LONDON, E14 4QJ
UNITED KINGDOM

Phone Number 44 207888 1600

Fax Number Not provided.

E-mail Address Not provided.

Website / URL WWW.CREDIT-SUISSE.COM

Federal EIN WJ0001444

CRD ID Not provided.

Other Names CREDIT SUISSE FINANCIAL PRODUCTS
CREDIT SUISSE FIRST BOSTON INTERNATIONAL

# Regulator Information

# Non-U.S. Regulator Information

FINANCIAL CONDUCT AUTHORITY (FCA)

PRUDENTIAL REGULATION AUTHORITY (PRA)

# National Futures Association

Part 30.5 Exemption

Page 7

Filed

November 18, 2015

OMB Number

3038-0072

Applicant

CREDIT SUISSE INTERNATIONAL

NFA ID

0443823

Submitted By

TRISHA GRANT

User ID

GRANTT2

## Agent Information

A Registered Futures Commission Merchant through which the applicant does business.

# National Futures Association

Part 30.5 Exemption

Page 8

Filed

November 18, 2015

OMB Number

3038-0072

Applicant

CREDIT SUISSE INTERNATIONAL

NFA ID

0443823

Submitted By

TRISHA GRANT

User ID

GRANTT2

## Doing Business With

0002397 CREDIT SUISSE SECURITIES USA LLC

# National Futures Association

| Part 30.5 Exemption |  |  | Page 9 |
| --- | --- | --- | --- |
| Filed | November 18, 2015 | OMB Number | 3038-0072 |
| Applicant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

## Contact Information

Exempt Foreign Firm Contact

ANDREW BELLWOOD

PRIME DERIVATIVES SERVICES EMEA COO

1 CABOT SQUARE

LONDON, E14 4QJ

UNITED KINGDOM

Phone: 44 207883 6512

E-mail: ANDREW.BELLWOOD@CREDIT-SUISSE.COM

# National Futures Association

Part 30.5 Exemption

Page 10

Filed November 18, 2015

OMB Number 3038-0072

Applicant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

# 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

Part 30.5 Exemption

Page 11

Filed November 18, 2015

OMB Number 3038-0072

Applicant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

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

Part 30.5 Exemption

Page 12

Filed November 18, 2015

OMB Number 3038-0072

Applicant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

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.

Amendments 18 and 19 - August 10, 2016

10/7/21, 6:36 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

| FIRST NAME: | JOSEPH |
| --- | --- |
| LAST NAME: | SCORDATA |
| TITLE: | CHIEF COMPLIANCE OFFICER |
| STREET ADDRESS 1: | ONE MADISON AVENUE |
| STREET ADDRESS 2: |  |
| STREET ADDRESS 3: |  |
| CITY: | NEW YORK |
| STATE: | NEW YORK |
| PROVINCE: |  |
| COUNTRY: | UNITED STATES |
| ZIP CODE: | 10010 |
| PHONE NUMBER: | 212 325 9895 |
| FAX NUMBER: |  |
| E-MAIL ADDRESS: | JOSEPH.SCORDATO@CREDIT-SUISSE.COM |
| FILED BY: | GRANTT2 |
| FILED ON: | 8/10/2016 9:39:22 AM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1076&formSeqNum=973749&appendChangeText=DELETED&changeTypeD... 1/1

# National Futures Association

Business Locations (3R)

Page 1

Filed August 10, 2016

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Business Information

Business Address 1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone Number 44 207888 1600

Fax Number Not provided.

E-mail Address Not provided.

# National Futures Association

Business Locations (3R)

Page 2

| Filed | August 10, 2016 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

---

## Location of Business Records

### Business Records Address

1 CABOT SQUARE  
LONDON E14 4QJ  
UNITED KINGDOM

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

CREDIT SUISSE SECURITIES (USA) LLC  
11 MADISON AVENUE  
NEW YORK, NY 10010  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed August 10, 2016

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Contact Information

Registration Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Membership Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

Accounting Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed August 10, 2016

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

### Exempt Foreign Firm Contact

ANDREW BELLWOOD

PRIME DERIVATIVES SERVICES EMEA COO

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 6512

E-mail: ANDREW.BELLWOOD@CREDIT-SUISSE.COM

# National Futures Association

| Business Locations (3R) |  | Page 5 |
| --- | --- | --- |
| Filed | August 10, 2016 | OMB Numbers 3038-0023 and 3038-0072 |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID 0443823 |
| Submitted By | TRISHA GRANT | User ID GRANTT2 |

Chief Compliance Officer

JAMES COULSON

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 4681

E-mail: JAMES.COULSON@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

JAMES COULSON

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 4681

E-mail: JAMES.COULSON@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed August 10, 2016

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

Enforcement/Compliance Communication Contact

SEAN DRISCOLL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-325-4402

E-mail: SEAN.DRISCOLL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 7

Filed August 10, 2016

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

Amendments 20 and 21 - May 9, 2017

10/7/21, 6:37 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

| FIRST NAME: | SEAN |
| --- | --- |
| LAST NAME: | DRISCOLL |
| TITLE: | DIRECTOR |
| STREET ADDRESS 1: | ONE MADISON AVENUE |
| STREET ADDRESS 2: | 9TH FLOOR |
| STREET ADDRESS 3: |  |
| CITY: | NEW YORK |
| STATE: | NEW YORK |
| PROVINCE: |  |
| COUNTRY: | UNITED STATES |
| ZIP CODE: | 10010 |
| PHONE NUMBER: | 212-325-4402 |
| FAX NUMBER: |  |
| E-MAIL ADDRESS: | SEAN.DRISCOLL@CREDIT-SUISSE.COM |
| FILED BY: | GRANTT2 |
| FILED ON: | 5/9/2017 12:59:31 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1076&formSeqNum=1016066&appendChangeText=DELETED&changeType... 1/1

# National Futures Association

Business Locations (3R)

Page 1

| Filed | May 09, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | TRISHA GRANT | User ID | GRANTT2 |

---

## Business Information

| Business Address | 1 CABOT SQUARE LONDON E14 4QJ UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 207888 1600 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations (3R)

Page 2

**Filed** May 09, 2017

**OMB Numbers** 3038-0023 and 3038-0072

**Registrant** CREDIT SUISSE INTERNATIONAL

**NFA ID** 0443823

**Submitted By** TRISHA GRANT

**User ID** GRANTT2

## Location of Business Records

### Business Records Address

1 CABOT SQUARE  
LONDON E14 4QJ  
UNITED KINGDOM

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

CREDIT SUISSE SECURITIES (USA) LLC  
11 MADISON AVENUE  
NEW YORK, NY 10010  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed May 09, 2017

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Contact Information

Registration Contact

ALFRED NUNN

VICE PRESIDENT

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

Membership Contact

ALFRED NUNN

VICE PRESIDENT

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

Accounting Contact

ALFRED NUNN

VICE PRESIDENT

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed May 09, 2017

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

ALFRED NUNN

VICE PRESIDENT

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

### Exempt Foreign Firm Contact

ANDREW BELLWOOD

PRIME DERIVATIVES SERVICES EMEA COO

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 6512

E-mail: ANDREW.BELLWOOD@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 5

Filed May 09, 2017

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

### Chief Compliance Officer

JAMES COULSON

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 4681

E-mail: JAMES.COULSON@CREDIT-SUISSE.COM

### Enforcement/Compliance Communication Contact

ALFRED NUNN

VICE PRESIDENT

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

### Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

ONE MADISON AVENUE

9TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed May 09, 2017

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

Enforcement/Compliance Communication Contact

JAMES COULSON

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 4681

E-mail: JAMES.COULSON@CREDIT-SUISSE.COM

# National Futures Association

Business Locations (3R)

Page 7

Filed May 09, 2017

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By TRISHA GRANT

User ID GRANTT2

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 3-R.

Amendments 22 and 23 - February 27, 2019

# National Futures Association

Business Locations

Page 1

| Filed | February 27, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | KELLI FOX | User ID | FOXK2 |

---

## Business Information

| Business Address | 1 CABOT SQUARE LONDON E14 4QJ UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 207888 1600 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations

Page 2

**Filed** February 27, 2019

**OMB Numbers** 3038-0023 and 3038-0072

**Registrant** CREDIT SUISSE INTERNATIONAL

**NFA ID** 0443823

**Submitted By** KELLI FOX

**User ID** FOXK2

## Location of Business Records

### Business Records Address

1 CABOT SQUARE  
LONDON E14 4QJ  
UNITED KINGDOM

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

CREDIT SUISSE SECURITIES (USA) LLC  
11 MADISON AVENUE  
NEW YORK, NY 10010  
UNITED STATES

# National Futures Association

Business Locations

Page 3

Filed February 27, 2019

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By KELLI FOX

User ID FOXK2

## Contact Information

Registration Contact

ALFRED NUNN

VICE PRESIDENT

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

Membership Contact

ALFRED NUNN

VICE PRESIDENT

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

Accounting Contact

ALFRED NUNN

VICE PRESIDENT

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

# National Futures Association

Business Locations

Page 4

Filed February 27, 2019

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By KELLI FOX

User ID FOXK2

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

ALFRED NUNN

VICE PRESIDENT

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

### Exempt Foreign Firm Contact

ANDREW BELLWOOD

PRIME DERIVATIVES SERVICES EMEA COO

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 6512

E-mail: ANDREW.BELLWOOD@CREDIT-SUISSE.COM

# National Futures Association

| Business Locations |  | Page 5 |
| --- | --- | --- |
| Filed | February 27, 2019 | OMB Numbers 3038-0023 and 3038-0072 |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID 0443823 |
| Submitted By | KELLI FOX | User ID FOXK2 |

Chief Compliance Officer

JAMES COULSON

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 4681

E-mail: JAMES.COULSON@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

JAMES COULSON

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 4681

E-mail: JAMES.COULSON@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

ALFRED NUNN

VICE PRESIDENT

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

# National Futures Association

| Business Locations |  | Page 6 |
| --- | --- | --- |
| Filed | February 27, 2019 | OMB Numbers 3038-0023 and 3038-0072 |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID 0443823 |
| Submitted By | KELLI FOX | User ID FOXK2 |

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

DIRECTOR

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

# National Futures Association

Business Locations

Page 7

Filed February 27, 2019

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By KELLI FOX

User ID FOXK2

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

# National Futures Association

Business Locations

Page 1

| Filed | February 27, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | KELLI FOX | User ID | FOXK2 |

---

## Business Information

| Business Address | 1 CABOT SQUARE LONDON E14 4QJ UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 207888 1600 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations

Page 2

**Filed** February 27, 2019

**OMB Numbers** 3038-0023 and 3038-0072

**Registrant** CREDIT SUISSE INTERNATIONAL

**NFA ID** 0443823

**Submitted By** KELLI FOX

**User ID** FOXK2

## Location of Business Records

### Business Records Address

1 CABOT SQUARE  
LONDON E14 4QJ  
UNITED KINGDOM

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

CREDIT SUISSE SECURITIES (USA) LLC  
11 MADISON AVENUE  
NEW YORK, NY 10010  
UNITED STATES

# National Futures Association

Business Locations

Page 3

Filed February 27, 2019

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By KELLI FOX

User ID FOXK2

## Contact Information

Registration Contact

ALFRED NUNN

VICE PRESIDENT

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

Membership Contact

ALFRED NUNN

VICE PRESIDENT

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

Accounting Contact

ALFRED NUNN

VICE PRESIDENT

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

# National Futures Association

Business Locations

Page 4

Filed February 27, 2019

OMB Numbers 3038-0023 and 3038-0072

Registrant CREDIT SUISSE INTERNATIONAL

NFA ID 0443823

Submitted By KELLI FOX

User ID FOXK2

### Arbitration Contact

DAMIAN BISSEKER

DIRECTOR

ONE CABOT SQUARE

LONDON

UNITED KINGDOM

Phone: 44 207888 2029

Fax: 44 207888 8085

E-mail: DAMIAN.BISSEKER@CREDIT-SUISSE.COM

### Compliance Contact

ALFRED NUNN

VICE PRESIDENT

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

### Exempt Foreign Firm Contact

ANDREW BELLWOOD

PRIME DERIVATIVES SERVICES EMEA COO

1 CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 207883 6512

E-mail: ANDREW.BELLWOOD@CREDIT-SUISSE.COM

# National Futures Association

| Business Locations |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | February 27, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID | 0443823 |
| Submitted By | KELLI FOX | User ID | FOXK2 |

Chief Compliance Officer

JAMES COULSON

CHIEF COMPLIANCE OFFICER - MANAGING DIR.

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 4681

E-mail: JAMES.COULSON@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

MICHELE VAN TASSEL

MANAGING DIRECTOR

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-4184

E-mail: MICHELE.VANTASSEL@CREDIT-SUISSE.COM

Enforcement/Compliance Communication Contact

JAMES COULSON

CHIEF COMPLIANCE OFFICER

ONE CABOT SQUARE

LONDON E14 4QJ

UNITED KINGDOM

Phone: 44 20 7883 4681

E-mail: JAMES.COULSON@CREDIT-SUISSE.COM

# National Futures Association

| Business Locations |  | Page 6 |
| --- | --- | --- |
| Filed | February 27, 2019 | OMB Numbers 3038-0023 and 3038-0072 |
| Registrant | CREDIT SUISSE INTERNATIONAL | NFA ID 0443823 |
| Submitted By | KELLI FOX | User ID FOXK2 |

Enforcement/Compliance Communication Contact

ALFRED NUNN

VICE PRESIDENT

11 MADISON AVENUE

11TH FLOOR

NEW YORK, NY 10010

UNITED STATES

Phone: 212-538-6648

E-mail: ALFRED.NUNN@CREDIT-SUISSE.COM

# National Futures Association

Business Locations

Page 7

Filed February 27, 2019

Registrant CREDIT SUISSE INTERNATIONAL

Submitted By KELLI FOX

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0443823

User ID FOXK2

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

Amendment 24 - March 5, 2020

10/7/21, 6:39 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

U.S. REGULATOR INFORMATION ADDED

U.S REGULATOR(S): THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

FILED BY: SANCHEZC2

FILED ON: 3/5/2020 10:28:29 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1099&formSeqNum=1222051&appendChangeText=ADDED&changeTypeDe... 1/1

Amendments 25 and 26 - October 4, 2021

# Firm Business Locations

### COMMODITY FUTURES TRADING COMMISSION NATIONAL FUTURES ASSOCIATION---

Filed on October 04, 2021

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted by LORRAINE BONNET (BONNETL1)

## Business Information

| Street Address 1 | 1 CABOT SQUARE |
| --- | --- |
| City | LONDON |
| Zip/Postal Code | E14 4QJ |
| Country | UNITED KINGDOM |
| Phone Number | 44 207888 1600 |
| Fax Number | Not provided |
| Email | Not provided |
| Website/URL | WWW.CREDIT-SUISSE.COM |
| CRD/IARD ID | Not provided |

---

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

Page 1 of 9

Business Locations Filed on October 04, 2021  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

# Exempt Foreign Firm Contact Information

# **Exempt Foreign Firm Contact Address**

| First Name | ANDREW |
| --- | --- |
| Last Name | BELLWOOD |
| Title | PRIME DERIVATIVES SERVICES EMEA COO |
| Street Address 1 | 1 CABOT SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 4QJ |
| Country | UNITED KINGDOM |
| Phone | 44 207883 6512 |
| Email | ANDREW.BELLWOOD@CREDIT-SUISSE.COM |

---

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

Page 2 of 9

Business Locations Filed on October 04, 2021
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

# Location of Business Records

| Street Address 1 | 1 CABOT SQUARE |
| --- | --- |
| City | LONDON |
| Zip/Postal Code | E14 4QJ |
| Country | UNITED KINGDOM |

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

Page 3 of 9

Business Locations Filed on October 04, 2021  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

## Registration Contact Information

| First Name | ALFRED |
| --- | --- |
| Last Name | NUNN |
| Title | VICE PRESIDENT |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-6648 |
| Email | ALFRED.NUNN@CREDIT-SUISSE.COM |

---

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

Page 4 of 9

Business Locations Filed on October 04, 2021  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

# Enforcement/Compliance Communication Contact Information

| First Name | ALFRED |
| --- | --- |
| Last Name | NUNN |
| Title | VICE PRESIDENT |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-6648 |
| Email | ALFRED.NUNN@CREDIT-SUISSE.COM |

| First Name | NITABEN |
| --- | --- |
| Last Name | PATEL |
| Title | CCO |
| Street Address 1 | ONE CABOT SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 4QJ |
| Country | UNITED KINGDOM |
| Phone | 44 2078830624 |
| Email | NITA.PATEL@CREDIT-SUISSE.COM |

| First Name | MICHELE |
| --- | --- |
| Last Name | VAN TASSEL |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-4184 |
| Email | MICHELE.VANTASSEL@CREDIT-SUISSE.COM |

---

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

Page 5 of 9

Business Locations Filed on October 04, 2021  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

## Membership Contact Information

### Membership Contact

| First Name | ALFRED |
| --- | --- |
| Last Name | NUNN |
| Title | VICE PRESIDENT |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-6648 |
| Email | ALFRED.NUNN@CREDIT-SUISSE.COM |

### Accounting Contact

| First Name | ALFRED |
| --- | --- |
| Last Name | NUNN |
| Title | VICE PRESIDENT |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-6648 |
| Email | ALFRED.NUNN@CREDIT-SUISSE.COM |

---

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

Page 6 of 9

Business Locations Filed on October 04, 2021  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

# **Arbitration Contact**

| First Name | DAMIAN |
| --- | --- |
| Last Name | BISSEKER |
| Title | DIRECTOR |
| Street Address 1 | ONE CABOT SQUARE |
| City | LONDON |
| Country | UNITED KINGDOM |
| Phone | 44 207888 2029 |
| Fax | 44 207888 8085 |
| Email | DAMIAN.BISSEKER@CREDIT-SUISSE.COM |

# **Compliance Contact**

| First Name | ALFRED |
| --- | --- |
| Last Name | NUNN |
| Title | VICE PRESIDENT |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-6648 |
| Email | ALFRED.NUNN@CREDIT-SUISSE.COM |

---

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

Page 7 of 9

Business Locations Filed on October 04, 2021  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

# **Chief Compliance Officer Contact**

| First Name | JAMES |
| --- | --- |
| Last Name | COULSON |
| Title | CHIEF COMPLIANCE OFFICER - MANAGING DIR. |
| Street Address 1 | ONE CABOT SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 4QJ |
| Country | UNITED KINGDOM |
| Phone | 44 20 7883 4681 |
| Email | JAMES.COULSON@CREDIT-SUISSE.COM |

---

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

Page 8 of 9

Business Locations Filed on October 04, 2021  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

---

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

Page 9 of 9

10/7/21, 6:40 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

| FIRST NAME: | JAMES |
| --- | --- |
| LAST NAME: | COULSON |
| TITLE: | CHIEF COMPLIANCE OFFICER |
| STREET ADDRESS 1: | ONE CABOT SQUARE |
| STREET ADDRESS 2: |  |
| STREET ADDRESS 3: |  |
| CITY: | LONDON |
| STATE: |  |
| PROVINCE: |  |
| COUNTRY: | UNITED KINGDOM |
| ZIP CODE: | E14 4QJ |
| PHONE NUMBER: | 44 20 7883 4681 |
| FAX NUMBER: |  |
| E-MAIL ADDRESS: | JAMES.COULSON@CREDIT-SUISSE.COM |
| FILED BY: | BONNETL1 |
| FILED ON: | 10/4/2021 9:05:47 AM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

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

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1076&formSeqNum=1362964&appendChangeText=DELETED&changeType... 1/1

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

## Current Principal List

NFA ID: 0443823 CREDIT SUISSE INTERNATIONAL

as of 9/19/2022 8:39:50 AM

| NFA ID | Name | Status | Effective Date |
| --- | --- | --- | --- |
| 0350712 | AGKPO, HIPPOLYTE GEORGES | PENDING | 08/16/2022 |
| 0453466 | CREDIT SUISSE AG | APPROVED | 12/15/2012 |
| 0456539 | CREDIT SUISSE GROUP AG | APPROVED | 01/08/2013 |
| 0510400 | DEVINE, JOHN | APPROVED | 11/27/2018 |
|  |  | PENDING | 10/17/2018 |
| 0536320 | HONOLD, DORIS | APPROVED | 04/06/2021 |
|  |  | PENDING | 03/01/2021 |
| 0485770 | HORNE, CHRISTOPHER | APPROVED | 05/29/2015 |
|  |  | PENDING | 05/20/2015 |
| 0549841 | JENKINS, EDWARD | PENDING | 09/07/2022 |
| 0549838 | JONES, DAVID ROGER | APPROVED | 08/17/2022 |
|  |  | PENDING | 06/27/2022 |
| 0496948 | MATHERS, DAVID RICHARD | APPROVED | 06/16/2016 |
|  |  | PENDING | 05/27/2016 |
| 0454834 | MEDDINGS, RICHARD HENRY | APPROVED | 09/14/2022 |
|  |  | PENDING | 08/03/2022 |
| 0483448 | OCUINN, SHANE P | APPROVED | 08/02/2022 |
| 0549885 | PANG, KWOK KIT KENNETH | APPROVED | 09/08/2022 |
|  |  | PENDING | 09/06/2022 |
| 0497615 | PATEL, NITABEN | APPROVED | 10/27/2021 |
|  |  | PENDING | 07/09/2021 |
| 0504144 | WADDINGTON, CAROLINE | APPROVED | 06/27/2017 |
|  |  | PENDING | 06/07/2017 |

(C) 2005 - 2022 National Futures Association

Page 1 of 1

# Principal Information

Viewed on October 13, 2022

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

# Individual Information

| NFA ID | 0350712 |
| --- | --- |
| Name | AGKPO, HIPPOLYTE GEORGES |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | PENDING |
| Effective Date | 08-16-2022 |

| NFA ID | 0550108 |
| --- | --- |
| Name | DAVIES, DEBRA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | PENDING |
| Effective Date | 09-22-2022 |

| NFA ID | 0510400 |
| --- | --- |
| Name | DEVINE, JOHN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-27-2018 |

| NFA ID | 0536320 |
| --- | --- |
| Name | HONOLD, DORIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-06-2021 |

| NFA ID | 0485770 |
| --- | --- |
| Name | HORNE, CHRISTOPHER |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-29-2015 |

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

Page 1 of 3

Viewed on October 13, 2022

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

| NFA ID | 0549841 |
| --- | --- |
| Name | JENKINS, EDWARD |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | PENDING |
| Effective Date | 09-07-2022 |

| NFA ID | 0549838 |
| --- | --- |
| Name | JONES, DAVID ROGER |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-17-2022 |

| NFA ID | 0496948 |
| --- | --- |
| Name | MATHERS, DAVID RICHARD |
| Title(s) | CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 06-16-2016 |

| NFA ID | 0454834 |
| --- | --- |
| Name | MEDDINGS, RICHARD HENRY |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-14-2022 |

| NFA ID | 0483448 |
| --- | --- |
| Name | OCUINN, SHANE P |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-02-2022 |

| NFA ID | 0549885 |
| --- | --- |
| Name | PANG, KWOK KIT KENNETH |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |

---

---

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

Page 2 of 3

Viewed on October 13, 2022

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

Effective Date 09-08-2022

NFA ID 0497615  
Name PATEL, NITABEN  
Title(s) CHIEF COMPLIANCE OFFICER  
10% or More Interest No  
Status APPROVED  
Effective Date 10-27-2021

NFA ID 0504144  
Name WADDINGTON, CAROLINE  
Title(s) CHIEF FINANCIAL OFFICER  
10% or More Interest No  
Status APPROVED  
Effective Date 06-27-2017

# Holding Company Information

NFA ID 0453466  
Full Name CREDIT SUISSE AG  
10% or More Interest Yes  
Status APPROVED  
Effective Date 12-15-2012

NFA ID 0456539  
Full Name CREDIT SUISSE GROUP AG  
10% or More Interest Yes  
Status APPROVED  
Effective Date 01-08-2013

---

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

Page 3 of 3

# Firm Regulatory Disclosure Matter Page

NATIONAL FUTURES ASSOCIATION

Filed on October 07, 2022

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

Submitted by ELIZABETH KURIYAMA (KURIYAMAE1)

The question(s) you are disclosing the regulatory action under:

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?

# Regulatory Case Information

# Regulatory Information

Regulatory/Civil Action initiated by OTHER FEDERAL AGENCY: COMMODITY FUTURES TRADING COMMISSION

# Case Information

Case Number CFTC DOCKET NO. 22-47

Case Status FINAL

Date Resolved September 2022

Sanctions imposed

RESTRICTIONS/CONDITIONS

# Comments

Page 1 of 2

Allegations against CSSU and CSI include failure to maintain required records and failure to diligently supervise matters related to CSSU's and CSI's businesses as CFTC registrants. THE SETTLEMENT ORDER HAS THE FOLLOWING TERMS: (1) A FINE OF $75 MILLION, WHICH WILL BE PAID BY OCTOBER 11, 2022; (2) A CEASE AND DESIST ORDER; (3) A COMPREHENSIVE REVIEW OF THE BANK'S COMPLIANCE FRAMEWORK RELATED TO THE PRESERVATION OF ELECTRONIC COMMUNICATIONS; (4) A WRITTEN REPORT OF THE FINDINGS OF THE REVIEW; (5) AN EVALUATION ONE YEAR FOLLOWING THE SUBMISSION OF THE REPORT; AND (6) A REQUIREMENT THAT THE BANK NOTIFY THE CFTC OF THE IMPOSITION OF ANY DISCIPLINE RELATED TO THE VIOLATION OF THE BANK'S POLICIES CONCERNING ELECTRONIC COMMUNICATIONS FOR A TWO-YEAR PERIOD.

#### Supporting Documentation---

| Description | CFTC SETTLEMENT SEPTEMBER 27, 2022 |
| --- | --- |
| File Name | CFTC Enforcement Order 2247.pdf |

---

Page 2 of 2

# Principal Information

Viewed on November 03, 2022

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

# Individual Information

NFA ID 0350712
Name AGKPO, HIPPOLYTE GEORGES
Title(s) HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
10% or More Interest No
Status APPROVED
Effective Date 10-27-2022

NFA ID 0550108
Name DAVIES, DEBRA
Title(s) DIRECTOR
10% or More Interest No
Status PENDING
Effective Date 09-22-2022

NFA ID 0510400
Name DEVINE, JOHN
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 11-27-2018

NFA ID 0536320
Name HONOLD, DORIS
Title(s) DIRECTOR
10% or More Interest No
Status APPROVED
Effective Date 04-06-2021

NFA ID 0485770
Name HORNE, CHRISTOPHER
Title(s) CHIEF EXECUTIVE OFFICER
10% or More Interest No
Status APPROVED
Effective Date 05-29-2015

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

Page 1 of 3

Viewed on November 03, 2022

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

| NFA ID | 0549841 |
| --- | --- |
| Name | JENKINS, EDWARD |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | PENDING |
| Effective Date | 09-07-2022 |

| NFA ID | 0549838 |
| --- | --- |
| Name | JONES, DAVID ROGER |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-17-2022 |

| NFA ID | 0454834 |
| --- | --- |
| Name | MEDDINGS, RICHARD HENRY |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-14-2022 |

| NFA ID | 0483448 |
| --- | --- |
| Name | OCUINN, SHANE P |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-02-2022 |

| NFA ID | 0549885 |
| --- | --- |
| Name | PANG, KWOK KIT KENNETH |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-08-2022 |

| NFA ID | 0497615 |
| --- | --- |
| Name | PATEL, NITABEN |
| 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 2 of 3

Viewed on November 03, 2022

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

| Effective Date | 10-27-2021 |
| --- | --- |
| NFA ID | 0504144 |
| Name | WADDINGTON, CAROLINE |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 06-27-2017 |

# Holding Company Information

| NFA ID | 0453466 |
| --- | --- |
| Full Name | CREDIT SUISSE AG |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 12-15-2012 |
| NFA ID | 0456539 |
| Full Name | CREDIT SUISSE GROUP AG |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 01-08-2013 |

---

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

Page 3 of 3

# Firm Business Locations

COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION

Filed on February 23, 2023

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL
Submitted by ELIZABETH KURIYAMA (KURIYAMAE1)

# Business Information

| Street Address 1 | 1 CABOT SQUARE |
| --- | --- |
| City | LONDON |
| Zip/Postal Code | E14 4QJ |
| Country | UNITED KINGDOM |
| Phone Number | 44 207888 1600 |
| Fax Number | Not provided |
| Email | Not provided |
| Website/URL | WWW.CREDIT-SUISSE.COM |
| CRD/IARD ID | Not provided |

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

Page 1 of 9

Business Locations Filed on February 23, 2023  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

## Exempt Foreign Firm Contact Information

### Exempt Foreign Firm Contact Address

| First Name | ANDREW |
| --- | --- |
| Last Name | BELLWOOD |
| Title | PRIME DERIVATIVES SERVICES EMEA COO |
| Street Address 1 | 1 CABOT SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 4QJ |
| Country | UNITED KINGDOM |
| Phone | 44 207883 6512 |
| Email | ANDREW.BELLWOOD@CREDIT-SUISSE.COM |

---

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

Page 2 of 9

Business Locations Filed on February 23, 2023
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

# Location of Business Records

| Street Address 1 | 1 CABOT SQUARE |
| --- | --- |
| City | LONDON |
| Zip/Postal Code | E14 4QJ |
| Country | UNITED KINGDOM |

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

Page 3 of 9

Business Locations Filed on February 23, 2023  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

## Registration Contact Information

| First Name | ALFRED |
| --- | --- |
| Last Name | NUNN |
| Title | VICE PRESIDENT |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-6648 |
| Email | ALFRED.NUNN@CREDIT-SUISSE.COM |

---

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

Page 4 of 9

Business Locations Filed on February 23, 2023

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

## Enforcement/Compliance Communication Contact Information

| First Name | ALFRED |
| --- | --- |
| Last Name | NUNN |
| Title | VICE PRESIDENT |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-6648 |
| Email | ALFRED.NUNN@CREDIT-SUISSE.COM |

| First Name | MARK J |
| --- | --- |
| Last Name | TAYLOR |
| Title | CCO |
| Street Address 1 | ONE CABOT SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 4QJ |
| Country | UNITED KINGDOM |
| Phone | 44 20 7888 1700 |
| Email | MARK.J.TAYLOR@CREDIT-SUISSE.COM |

---

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

Page 5 of 9

Business Locations Filed on February 23, 2023  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

## Membership Contact Information

### Membership Contact

| First Name | ALFRED |
| --- | --- |
| Last Name | NUNN |
| Title | VICE PRESIDENT |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-6648 |
| Email | ALFRED.NUNN@CREDIT-SUISSE.COM |

### Accounting Contact

| First Name | ALFRED |
| --- | --- |
| Last Name | NUNN |
| Title | VICE PRESIDENT |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-6648 |
| Email | ALFRED.NUNN@CREDIT-SUISSE.COM |

---

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

Page 6 of 9

Business Locations Filed on February 23, 2023

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

# Arbitration Contact

| First Name | DAMIAN |
| --- | --- |
| Last Name | BISSEKER |
| Title | DIRECTOR |
| Street Address 1 | ONE CABOT SQUARE |
| City | LONDON |
| Country | UNITED KINGDOM |
| Phone | 44 207888 2029 |
| Fax | 44 207888 8085 |
| Email | DAMIAN.BISSEKER@CREDIT-SUISSE.COM |

# Compliance Contact

| First Name | ALFRED |
| --- | --- |
| Last Name | NUNN |
| Title | VICE PRESIDENT |
| Street Address 1 | 11 MADISON AVENUE |
| Street Address 2 | 11TH FLOOR |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10010 |
| Country | UNITED STATES |
| Phone | 212-538-6648 |
| Email | ALFRED.NUNN@CREDIT-SUISSE.COM |

---

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

Page 7 of 9

Business Locations Filed on February 23, 2023

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

# Chief Compliance Officer Contact

| First Name | MARK J |
| --- | --- |
| Last Name | TAYLOR |
| Title | CHIEF COMPLIANCE OFFICER MANAGING DIR |
| Street Address 1 | ONE CABOT SQUARE |
| City | LONDON |
| Zip/Postal Code | E14 4QJ |
| Country | UNITED KINGDOM |
| Phone | 44 20 7888 1700 |
| Email | MARK.J.TAYLOR@CREDIT-SUISSE.COM |

---

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

Page 8 of 9

Business Locations Filed on February 23, 2023  
NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor 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 update.

---

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

Page 9 of 9

# Principal Information

Viewed on February 23, 2023

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL

# Individual Information

| NFA ID | 0350712 |
| --- | --- |
| Name | AGKPO, HIPPOLYTE GEORGES |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 10-27-2022 |

| NFA ID | 0550108 |
| --- | --- |
| Name | DAVIES, DEBRA |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-28-2022 |

| NFA ID | 0510400 |
| --- | --- |
| Name | DEVINE, JOHN |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-27-2018 |

| NFA ID | 0536320 |
| --- | --- |
| Name | HONOLD, DORIS |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 04-06-2021 |

| NFA ID | 0485770 |
| --- | --- |
| Name | HORNE, CHRISTOPHER |
| Title(s) | CHIEF EXECUTIVE OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 05-29-2015 |

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

Page 1 of 3

Viewed on February 23, 2023

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

| NFA ID | 0549841 |
| --- | --- |
| Name | JENKINS, EDWARD |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 11-16-2022 |

| NFA ID | 0549838 |
| --- | --- |
| Name | JONES, DAVID ROGER |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-17-2022 |

| NFA ID | 0454834 |
| --- | --- |
| Name | MEDDINGS, RICHARD HENRY |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-14-2022 |

| NFA ID | 0483448 |
| --- | --- |
| Name | OCUINN, SHANE P |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 08-02-2022 |

| NFA ID | 0549885 |
| --- | --- |
| Name | PANG, KWOK KIT KENNETH |
| Title(s) | HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 09-08-2022 |

| NFA ID | 0536034 |
| --- | --- |
| Name | TAYLOR, MARK JEREMY |
| Title(s) | CHIEF COMPLIANCE OFFICER |
| 10% or More Interest | No |
| Status | PENDING |

---

---

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

Page 2 of 3

Viewed on February 23, 2023

NFA ID 0443823 CREDIT SUISSE INTERNATIONAL---

| Effective Date | 02-16-2023 |
| --- | --- |
| NFA ID | 0554131 |
| Name | TODD, DAVID ANDREW THOMPSON |
| Title(s) | DIRECTOR |
| 10% or More Interest | No |
| Status | PENDING |
| Effective Date | 02-10-2023 |
| NFA ID | 0504144 |
| Name | WADDINGTON, CAROLINE |
| Title(s) | CHIEF FINANCIAL OFFICER |
| 10% or More Interest | No |
| Status | APPROVED |
| Effective Date | 06-27-2017 |

# Holding Company Information

| NFA ID | 0453466 |
| --- | --- |
| Full Name | CREDIT SUISSE AG |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 12-15-2012 |
| NFA ID | 0456539 |
| Full Name | CREDIT SUISSE GROUP AG |
| 10% or More Interest | Yes |
| Status | APPROVED |
| Effective Date | 01-08-2013 |

---

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

Page 3 of 3

**Attachment 2:** `05-19-2014-Information.pdf`

Case 1:14-cr-00188-RBS Document 1 Filed 05/19/14 Page 1 of 4 PageID# 1

FILED

# IN THE UNITED STATES DISTRICT COURT FOR THE
EASTERN DISTRICT OF VIRGINIA

Alexandria Division

UNITED STATES OF AMERICA

v.

CREDIT SUISSE AG,

Defendant.

2014 MAY 19 P 4:03
CLERK US DISTRICT COURT
ALEXANDRIA, VIRGINIA

CRIMINAL NO. 1:14-CR-1:14CR2188 RBS

Count 1: 18 U.S.C. § 371
(Conspiracy)

# INFORMATION

# COUNT ONE
(Conspiracy)

THE UNITED STATES ATTORNEY CHARGES THAT:

1. For decades prior to and through in or about 2009, the exact dates being unknown to the United States Attorney, in the Eastern District of Virginia and elsewhere, the defendant

# CREDIT SUISSE AG

and its subsidiaries Credit Suisse Fides and Clariden Leu Ltd. (collectively “the defendant” or “CREDIT SUISSE”) did unlawfully, voluntarily, intentionally, and knowingly conspire, combine, confederate, and agree together with others both known and unknown to the United States Attorney to commit the following offense against the United States: to willfully aid, assist in, procure, counsel, and advise the preparation and presentation of false income tax returns and other documents to the Internal Revenue Service of the Treasury Department, in violation of Title 26, United States Code, Section 7206(2).

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Case 1:14-cr-00188-RBS Document 1 Filed 05/19/14 Page 2 of 4 PageID# 2

## Manner and Means of the Conspiracy

2. Among the manner and means by which the Defendant, CREDIT SUISSE, and its conspirators would and did carry out the conspiracy were the following:

a. assisting clients in using sham entities as nominee beneficial owners of the undeclared accounts;
b. soliciting IRS forms that falsely stated under penalties of perjury that the sham entities beneficially owned the assets in the accounts;
c. failing to maintain in the United States records related to the accounts;
d. destroying account records sent to the United States for client review;
e. using CREDIT SUISSE managers and employees as unregistered investment advisors on undeclared accounts;
f. facilitating withdrawals of funds from the undeclared accounts by either providing hand-delivered cash in the United States or using CREDIT SUISSE's correspondent bank accounts in the United States;
g. structuring transfers of funds to evade currency transaction reporting requirements; and
h. providing offshore credit and debit cards to repatriate funds in the undeclared accounts.

## Overt Acts

3. In furtherance of the conspiracy, and to effect the object thereof, the following overt acts were committed in the Eastern District of Virginia, and elsewhere:

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Case 1:14-cr-00188-RBS Document 1 Filed 05/19/14 Page 3 of 4 PageID# 3

# CLIENT 1

a. In or about August 2006, in Zurich, Switzerland, Client 1, a naturalized U.S. citizen residing in Charlottesville, Virginia, opened an undeclared account at CREDIT SUISSE in Switzerland.
b. On or about August 16, 2006, Client 1 departed from Dulles International Airport, in the Eastern District of Virginia, on a flight bound for Zurich, Switzerland, to meet with a CREDIT SUISSE banker in Zurich, Switzerland, to discuss the undeclared account.
c. On or about April 15, 2007, Client 1 filed with the IRS a false and fraudulent U.S. Individual Income Tax Return, Form 1040, for tax year 2006 that failed to report the undeclared account and related income.

# CLIENT 2

d. In or about 1988, Client 2, a U.S. citizen and resident of Elizabeth, New Jersey, inherited an undeclared account at CREDIT SUISSE in Basel, Switzerland.
e. In or about July 2002, on the advice of a CREDIT SUISSE banker, Client 2 transferred the contents of the inherited undeclared account into a new undeclared account, opened in the name of Client 2, at CREDIT SUISSE.

f. In or about May 2004, a CREDIT SUISSE banker met with Client 2 at a hotel in New York, New York, to review statements for Client 2's undeclared account and to discuss investment strategy.

g. On or about April 15, 2006, Client 2 filed with the IRS a false and fraudulent U.S. Individual Income Tax Return, Form 1040, for tax year 2005 that failed to report the undeclared account and related income.

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Case 1:14-cr-00188-RBS Document 1 Filed 05/19/14 Page 4 of 4 PageID# 4

h. In or about August 2009, Client 2 met with a CREDIT SUISSE banker in Zurich, Switzerland, to close the undeclared account at which time the banker suggested that, rather than repatriate the funds to the U.S., the client transfer the account to another Swiss bank.

(All in violation of Title 18, United States Code, Section 371.)

DANA J. BOENTE
United States Attorney

KATHRYN KENEALLY
Assistant Attorney General
Tax Division

5-19-2014
Mark D. Lytle
Assistant U.S. Attorney

5-19-2014
Mark F. Daly
Senior Litigation Counsel
Nanette L. Davis
Assistant Chief

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**Attachment 3:** `05-19-2014-PleaAgreement.pdf`

Case 1:14-cr-00188-RBS Document 13 Filed 05/19/14 Page 1 of 14 PageID# 19

# IN THE UNITED STATES DISTRICT COURT FOR THE
EASTERN DISTRICT OF VIRGINIA

Alexandria Division[{"box_2d": [128, 192, 786, 311], "label": "text", "caption": "UNITED STATES OF AMERICA
v.
CREDIT SUISSE AG,
Defendant.
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![img-0.jpeg](img-0.jpeg)

# PLEA AGREEMENT

Dana J. Boente, United States Attorney for the Eastern District of Virginia; Mark D. Lytle, Assistant United States Attorney; Kathryn Keneally, Assistant Attorney General, Tax Division, U.S. Department of Justice; Mark F. Daly and Nanette L. Davis, Trial Attorneys, Tax Division, U.S. Department of Justice; the defendant, Credit Suisse AG; and the defendant's counsel have entered into an agreement pursuant to Rule 11 of the Federal Rules of Criminal Procedure. The terms of the agreement are as follows:

# 1. Offense and Maximum Penalties

The defendant agrees to plead guilty to a one count information charging the defendant with conspiracy to commit offenses against the United States, to wit, violations of Title 26, United States Code, Section 7206(2), the aiding, assisting, procuring, counseling, and advising of the preparation and presentation of false income tax returns to the Internal Revenue Service of the Treasury Department, in violation of Title 18, United States Code, Section 371. The maximum penalties for the offense are: a maximum possible fine of $500,000, twice the gross gain derived from the offense, or twice the gross loss, whichever is greatest; full restitution; a term of probation of no more than five (5) years; and a special assessment.

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Case 1:14-cr-00188-RBS Document 13 Filed 05/19/14 Page 2 of 14 PageID# 20

# 2. Factual Basis for the Plea

The defendant will plead guilty because the defendant is in fact guilty of the charged offense. The defendant admits the facts set forth in the Statement of Facts filed with this plea agreement and agrees that those facts establish guilt of the offense charged beyond a reasonable doubt. The Statement of Facts, which is hereby incorporated into this plea agreement, constitutes a stipulation of facts for purposes of Section 1B1.2(a) of the Sentencing Guidelines.

# 3. Assistance and Advice of Counsel

The defendant is satisfied that the defendant's attorney has rendered effective assistance. The defendant understands that by entering into this agreement, defendant surrenders certain rights as provided in this agreement. The defendant understands that the rights of criminal defendants include the following:

A. the right to plead not guilty and to persist in that plea;
B. the right to a jury trial;
C. the right to be represented by counsel - and if necessary have the court appoint counsel - at trial and at every other stage of the proceedings; and
D. the right at trial to confront and cross-examine adverse witnesses, to be protected from compelled self-incrimination, to testify and present evidence, and to compel the attendance of witnesses.

# 4. Sentencing Guidelines

The parties agree to take the following positions at sentencing under the United States Sentencing Guidelines:

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A. The parties agree that the Guideline Manual in effect as of the date of sentencing should be used in determining Credit Suisse AG’s sentence. *See* U.S.S.G. § 1B1.11(a);

B. The parties agree that the base fine is $666,500,000, which is the estimated pecuniary loss from the offense. *See* U.S.S.G. §§ 8C2.3 and 8C2.4(a);

C. Pursuant to U.S.S.G. § 8C2.5, the culpability score is ten (10) determined as follows:

(1) Base culpability score is five (5) pursuant to U.S.S.G. § 8C2.5(a); and

(2) Add five (5) points pursuant to U.S.S.G. § 8C2.5(b)(1)(A), in that the organization had 5,000 or more employees, and an individual within the high-level personnel of the unit participated in or condoned the offense and/or tolerance of the offense by substantial authority personnel was pervasive throughout the organization;

D. Pursuant to U.S.S.G. § 8C2.6, the appropriate multiplier range associated with a culpability score of ten (10) is 2.0 to 4.0; and

E. Thus, the Guideline Fine Range is $1,333,000,000 to $2,666,000,000. *See* U.S.S.G. §§ 8C2.7(a), (b); 18 U.S.C. §§ 3571(c) and (d).

## 5. Restitution

Defendant agrees that restitution is mandatory pursuant to 18 U.S.C. §3663A. Defendant agrees to the entry of a Restitution Order for the full amount of the victim’s losses. Pursuant to 18 U.S.C. § 3663A(c)(2), the defendant agrees that an offense listed in § 3663A(c)(1) gave rise to this plea agreement and as such, victims of the conduct described in the charging instrument, statement of facts or any related or similar conduct shall be entitled to restitution. The Government is currently aware that the following victim has suffered the following losses:

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Case 1:14-cr-00188-RBS Document 13 Filed 05/19/14 Page 4 of 14 PageID# 22

Victim Name/Address

Amount of Restitution

IRS - RACS

Attn.: Mail Stop 6261, Restitution
333 West Pershing Avenue
Kansas City, MO 64108

$666,500,000

The parties agree that restitution shall be paid directly to the Internal Revenue Service, pursuant to payment instructions provided to Credit Suisse AG. If the Court orders the defendant to pay restitution to the IRS for the failure to pay tax, either directly as part of the sentence or as a condition of supervised release, the IRS will use the restitution order as the basis for a civil assessment. See 26 U.S.C. § 6201(a)(4). The defendant does not have the right to challenge the amount of this assessment. See 26 U.S.C. § 6201(a)(4)(C). Neither the existence of a restitution payment schedule nor the defendant’s timely payment of restitution according to that schedule will preclude the IRS from administrative collection of the restitution-based assessment, including levy and distraint under 26 U.S.C. § 6331.

6. Special Assessment

Before sentencing in this case, the defendant agrees to pay a mandatory special assessment of Four Hundred dollars ($400.00) per count of conviction, pursuant to 18 U.S.C. § 3013.

7. Agreed Disposition

A. The Office of the U.S. Attorney for the Eastern District of Virginia and the Tax Division, Department of Justice (collectively, “the United States”) and Credit Suisse AG agree pursuant to Fed. R. Crim. P. 11(c)(1)(C) that the following sentence, which comprises a Two Billion dollar ($2,000,000,000) resolution with the Department of Justice as detailed below, is the appropriate disposition of the Information:

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Case 1:14-cr-00188-RBS Document 13 Filed 05/19/14 Page 5 of 14 PageID# 23

1. a criminal fine in the amount of One Billion, Three Hundred Thirty-Three Million, Five Hundred Thousand dollars ($1,333,500,000), less a credit of One Hundred Ninety-Six Million, Five Hundred Eleven Thousand, Fourteen Dollars ($196,511,014) for Credit Suisse Group AG's payment to the U.S. Securities and Exchange Commission pursuant to its order of February 21, 2014 in Administrative Proceeding File No. 3-15763, for a final payment of One Billion, One Hundred Thirty-Six Million, Nine Hundred Eighty-Eight Thousand, Nine Hundred Eighty-Six Dollars ($1,136,988,986), to be paid within one week of the date of sentencing;
2. a mandatory special assessment of $400, which shall be paid to the Clerk of Court on or before the date of sentencing; and
3. restitution to the U.S. Internal Revenue Service in the amount of Six Hundred Sixty-Six Million, Five Hundred Thousand dollars ($666,500,000), to be paid within one week of sentencing.

In light of the fine, restitution, and other payments to be paid by Credit Suisse AG to the United States and federal and state regulatory authorities, the United States will forgo the payment of additional penalties available under the relevant statutes, rules, and regulations.

B. Credit Suisse AG further agrees to lawfully undertake the following:

1. Credit Suisse AG must promptly disclose all evidence and information described in Sections II.D.1. and II.D.2 of the Program for Non-Prosecution Agreements or Non-Target Letters for Swiss Banks and in the format requested by the United States;
2. Credit Suisse AG will provide, at its own expense, fair and accurate translations of any foreign language documents produced by Credit Suisse AG to the Government either directly or through the Swiss Federal Tax Administration;

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Case 1:14-cr-00188-RBS Document 13 Filed 05/19/14 Page 6 of 14 PageID# 24

3. Credit Suisse AG will provide testimony or information, including testimony and information necessary to identify or establish the original location, authenticity, or other basis for admission into evidence of documents or physical evidence in any criminal or other proceeding as requested by the Government, including but not limited to the conduct set forth in the Statement of Facts;

4. Credit Suisse AG will provide all necessary information for the United States to draft treaty requests to seek account records and other information, and will collect and maintain all records that are potentially responsive to such treaty requests to facilitate prompt responses;

5. Credit Suisse AG will close any and all accounts of recalcitrant account holders, as defined in Section 1471(d)(6) of the Internal Revenue Code; will implement procedures to prevent its employees from assisting recalcitrant account holders to engage in acts of further concealment in connection with closing any account or transferring any funds; and will not open any U.S. Related Accounts (as defined in paragraph I.B.9 of the Program for Non-Prosecution Agreements or Non-Target Letters for Swiss Banks, without regard to the dollar limit or the applicable time period) except on conditions that ensure that the account will be declared to the United States and will be subject to disclosure by Credit Suisse AG; and

6. Credit Suisse AG agrees that no portion of the fine or other payments made pursuant to this plea agreement will serve as a basis for Credit Suisse AG to claim, assert, or apply for, either directly or indirectly, any tax deduction, any tax credit, or any other offset against any U.S. federal, state, or local tax or taxable income.

C. The United States specifically may, at its sole option, be released from its commitments under this plea agreement, including, but not limited to, its agreement that this

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Case 1:14-cr-00188-RBS Document 13 Filed 05/19/14 Page 7 of 14 PageID# 25

paragraph constitutes the appropriate disposition of this case, if at any time between its execution of this plea agreement and sentencing, Credit Suisse AG:

1. Fails to truthfully admit its conduct in the offense of conviction;
2. Falsely denies, or frivolously contests, relevant conduct for which Credit

Suisse AG is accountable under U.S.S.G. § 1B1.3;

3. Gives false or misleading testimony in any proceeding relating to the criminal conduct charged in this case and any relevant conduct for which Credit Suisse AG is accountable under U.S.S.G. § 1B1.3;
4. Engages in acts which form a basis for finding that Credit Suisse AG has obstructed or impeded the administration of justice under U.S.S.G. § 3C1.1; or
5. Attempts to withdraw its plea.

D. Credit Suisse AG expressly understands and acknowledges that it may not withdraw its plea of guilty, unless the Court rejects this plea agreement under Fed. R. Crim. P. 11(c)(5).

E. Credit Suisse AG agrees that it shall not, through its attorneys, agents, officers, or employees, make any statement, in litigation or otherwise, contradicting the Statement of Facts or Credit Suisse AG's representations set forth in this plea agreement; provided, however, that the restrictions set forth in this paragraph are not intended to and shall not apply to any current or former Credit Suisse AG employee, or any other individual or entity, in the course of any criminal, regulatory, or civil case, investigation, or other proceeding initiated by the Government or any other governmental agency or authority against an individual or entity, whether in the United States or any other jurisdiction, provided that the individual or entity is not authorized to speak on behalf of Credit Suisse AG. Any contradictory statement by Credit Suisse AG shall

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constitute a breach of this plea agreement, and trigger the provisions of sub-paragraphs 12a-12c. The decision as to whether any contradictory statement will be imputed to Credit Suisse AG for the purpose of determining whether Credit Suisse AG has breached this plea agreement shall be at the sole discretion of the United States. Upon a determination by the United States that a contradictory statement has been made by Credit Suisse AG, the United States shall promptly notify Credit Suisse AG in writing of the contradictory statement, and Credit Suisse AG may avoid a breach of this plea agreement by repudiating the statement both to the recipient of the statement and to the United States within 72 hours after receipt of notice by the United States. Credit Suisse AG consents to the public release by the United States, in its sole discretion, of any repudiation.

# **8. Waiver of Appeal, FOIA and Privacy Act Rights**

The defendant also understands that Title 18, United States Code, Section 3742 affords a defendant the right to appeal the sentence imposed. Nonetheless, the defendant knowingly waives the right to appeal the conviction and any sentence agreed to by the parties, as set out in paragraph 7, even if the District Court rejects one or more positions advocated by the parties with regard to the application of the U.S. Sentencing Guidelines, on the grounds set forth in Title 18, United States Code, Section 3742 or on any ground whatsoever, in exchange for the concessions made by the United States in this plea agreement. The defendant reserves its right pursuant to Title 18, United States Code, Section 3742(c)(1) to appeal any sentence imposed that is greater than the sentence set forth in this agreement. This agreement does not affect the rights or obligations of the United States as set forth in Title 18, United States Code, Section 3742(b) and (c). The defendant also hereby waives all rights, whether asserted directly or by a representative, to request or receive from any department or agency of the United States any

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*[Handwritten signatures and initials]*

Case 1:14-cr-00188-RBS Document 13 Filed 05/19/14 Page 9 of 14 PageID# 27

records pertaining to the investigation or prosecution of this case, including without limitation any records that may be sought under the Freedom of Information Act, Title 5, United States Code, Section 552, or the Privacy Act, Title 5, United States Code, Section 552a.

# **9. Scope of the Agreement**

The United States will not further criminally prosecute the defendant for the specific conduct described in the Information or Statement of Facts. This agreement not to further prosecute Credit Suisse AG is expressly contingent on:

A. The guilty plea of Credit Suisse AG being accepted by the Court and not withdrawn; and

B. Credit Suisse AG’s performance of all of its material obligations as set forth in this plea agreement. If Credit Suisse AG’s guilty plea is not accepted by the Court or is withdrawn for any reason, or if Credit Suisse AG should fail to perform a material obligation under this plea agreement, this agreement not to further prosecute shall be null and void.

This plea agreement shall bind defendant, subsidiaries, affiliated entities, assignees, and its successor corporation if any, and any other person or entity that assumes the obligations contained herein. No change in name, change in corporate or individual control, business reorganization, change in ownership, merger, change of legal status, sale or purchase of assets, divestiture of assets, or similar action shall alter defendant’s obligations under this Agreement. Defendant shall not engage in any action to seek to avoid the obligations set forth in this Agreement.

This plea agreement does not affect the right of the United States to prosecute any individual, including but not limited to present and former officers, directors, employees, and

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Case 1:14-cr-00188-RBS Document 13 Filed 05/19/14 Page 10 of 14 PageID# 28

agents of Credit Suisse AG and any related entity, in connection with the conduct encompassed by this plea agreement and accompanying Information and/or Statement of Facts.

### 10. Fed. R. Crim. P. 11(c)(l)(C) Agreement

Credit Suisse AG's plea will be tendered pursuant to Fed. R. Crim. P. 11(c)(l)(C). Credit Suisse AG cannot withdraw its plea of guilty unless the sentencing judge rejects this plea agreement or fails to impose a sentence consistent herewith. If the sentencing judge rejects this plea agreement or fails to impose a sentence consistent herewith, this plea agreement shall be null and void at the option of either the United States or Credit Suisse AG.

### 11. Civil and Administrative Liability

By entering into this plea agreement, the United States does not compromise any civil liability, including but not limited to any tax liability, which Credit Suisse AG may have incurred or may incur as a result of its conduct and its plea of guilty to the attached Information.

### 12. Breach of Plea Agreement

This plea agreement is effective when signed by the defendant, the defendant's attorney, an attorney for the Office of the U.S. Attorney for the Eastern District of Virginia, and an attorney for the Tax Division, Department of Justice. The defendant agrees to entry of this plea agreement at the date and time scheduled with the Court by the United States (in consultation with the defendant's attorney). If the defendant fails to comply with any provision of this plea agreement, or commits or attempts to commit any additional federal, state or local crimes, then:

A. The United States will be released from its obligations under this plea agreement by notifying Credit Suisse AG, through counsel or otherwise, in writing. The defendant, however, may not withdraw the guilty plea entered pursuant to this agreement;

B. The defendant will be subject to prosecution for any federal criminal violation, including, but not limited to, perjury and obstruction of justice, that is not time-barred by the

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applicable statute of limitations on the date this agreement is signed. Notwithstanding the subsequent expiration of the statute of limitations, in any such prosecution, the defendant agrees to waive any statute-of-limitations defense as provided for in the tolling agreement executed by the parties on May 19, 2014; and

C. Any prosecution, including the prosecution that is the subject of this agreement, may be premised upon any information provided, or statements made, by the defendant, and all such information, statements, and leads derived therefrom may be used against the defendant. The defendant waives any right to claim that statements made before or after the date of this agreement, including the Statement of Facts accompanying this agreement or adopted by the defendant and any other statements made pursuant to this or any other agreement with the United States, should be excluded or suppressed under Fed. R. Evid. 410, Fed. R. Crim. P. 11(f), the Sentencing Guidelines, or any other provision of the Constitution or federal law.

Any alleged breach of this agreement by either party shall be determined by the Court in an appropriate proceeding at which the defendant's disclosures and documentary evidence shall be admissible and at which the moving party shall be required to establish a breach of the plea agreement by a preponderance of the evidence.

### 13. Who Is Bound By Agreement

With respect to matters set forth in Paragraph 9, this plea agreement is binding on Credit Suisse AG and the Office of the United States Attorney for the Eastern District of Virginia and the Tax Division of the Department of Justice. Credit Suisse AG understands that this plea agreement does not bind any state or local prosecutorial authorities.

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#### 14. Corporate Authorization

Credit Suisse AG shall provide to the U.S. Attorney and the Court a certified copy of a resolution of the Board of Directors of Credit Suisse AG, affirming that the Board of Directors has authority to enter into the plea agreement and has (1) reviewed the Information in this case and the proposed plea agreement or has been advised of the contents thereof; (2) consulted with legal counsel in connection with the matter; (3) voted to enter into the proposed plea agreement; (4) voted to authorize Credit Suisse AG to plead guilty to the charge specified in the Information; and (5) voted to authorize the corporate officer identified below to execute the plea agreement and all other documents necessary to carry out the provisions of the plea agreement. A copy of the resolution is attached as Exhibit A. Credit Suisse AG agrees that a duly authorized corporate officer for Credit Suisse AG shall appear on behalf of Credit Suisse AG and enter the guilty plea and will also appear for the imposition of sentence.

#### 15. Nature of the Agreement and Modifications

This written agreement constitutes the complete plea agreement between the United States, the defendant, and the defendant's counsel. The defendant and the defendant's attorney acknowledge that no threats, promises, or representations have been made, nor agreements reached, other than those set forth in writing in this plea agreement, to cause the defendant to

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plead guilty. Any modification of this plea agreement shall be valid only as set forth in writing in a supplemental or revised plea agreement signed by all parties.

DANA J. BOENTE
United States Attorney

KATHRYN KENEALLY
Assistant Attorney General
Tax Division

5-19-2014  
Mark D. Lytle  
Assistant U.S. Attorney

Mark F. Daly  
Senior Litigation Counsel  
Nanette L. Davis  
Assistant Chief

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Defendant's Signature: The Board of Directors has authorized me to execute this plea agreement on behalf of Credit Suisse AG. The Board has read this plea agreement, the attached criminal Information and Statement of Facts in their entirety, or has been advised of the contents thereof, and has discussed them fully in consultation with Credit Suisse AG's attorneys. I am further authorized to acknowledge on behalf of Credit Suisse AG that these documents fully set forth Credit Suisse AG's agreement with the United States, and that no additional promises or representations have been made to Credit Suisse AG by any officials of the United States in connection with the disposition of this matter, other than those set forth in these documents.

Date: 5/19/14 Credit Suisse AG

Defense Counsel Signature: We are counsel for Credit Suisse AG in this case. We have fully explained to the defendant the defendant's rights with respect to the pending Information. Further, we have reviewed Title 18, United States Code, Section 3553 and the Sentencing Guidelines Manual, and we have fully explained to the defendant the provisions that may apply in this case. We have carefully reviewed every part of this plea agreement with the defendant. To our knowledge, the defendant's decision to enter into this agreement is an informed and voluntary one.

Date: 5/19/14
Christopher A. Wray
Andrew C. Hruska
Michael R. Pauzé
William F. Johnson
Counsel for the Defendant

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**Attachment 4:** `05-19-2014-StatementofFacts.pdf`

Case 1:14-cr-00188-RBS Document 14 Filed 05/19/14 Page 1 of 16 PageID# 36

# IN THE UNITED STATES DISTRICT COURT FOR THE
EASTERN DISTRICT OF VIRGINIA

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

Alexandria Division

UNITED STATES OF AMERICA

v.

CREDIT SUISSE AG,

Defendant.

CRIMINAL NO. 1:14-CR-188

# STATEMENT OF FACTS

The parties stipulate that the allegations in Count One of the Information and the following facts are true and correct, and that had the matter gone to trial the United States would have proven them beyond a reasonable doubt:

1. CREDIT SUISSE AG, a corporation organized under the laws of Switzerland, directly and through its parent, subsidiaries and affiliates, operates a global financial services business in more than 50 countries with over 45,000 employees, including 9,000 U.S. employees. In the United States, CREDIT SUISSE operates as a Financial Holding Company regulated by the Federal Reserve. CREDIT SUISSE offers private banking and wealth management services to over two million clients, focusing on ultra-high-net-worth and high-net-worth individual clients around the globe, including U.S. citizens, legal permanent residents, and resident aliens, located within the Eastern District of Virginia and elsewhere.

2. Clariden Leu Ltd. ("Clariden Leu") was a private Swiss bank and one of CREDIT SUISSE's wholly owned subsidiaries. It offered private banking and wealth management services that paralleled and often competed with the private wealth management services offered by CREDIT SUISSE. CREDIT SUISSE formed Clariden Leu on January 26, 2007, by merging four private banks that CREDIT SUISSE wholly owned, Clariden Bank, Bank Leu, Bank Hofmann, and BGP Banca di Gestione Patrimoniale, with Credit Suisse Fides, the securities dealer that CREDIT SUISSE wholly owned. Clariden Leu was one of the largest private banks in Switzerland and ultimately managed more than 100 billion Swiss francs. CREDIT SUISSE merged with Clariden Leu on April 2, 2012, acquiring all of Clariden Leu's assets and liabilities and assuming all of its rights and obligations.

3. Unless otherwise specifically noted herein, CREDIT SUISSE AG, its parent, and Switzerland-based subsidiaries and affiliates, including Clariden Leu, collectively will be called "CREDIT SUISSE."

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## U.S. INCOME TAX & REPORTING OBLIGATIONS

4. U.S. citizens, resident aliens, and legal permanent residents have an obligation to report all income earned from foreign bank accounts on their tax returns and to pay the taxes due on that income. For the tax year 1976 forward, U.S. citizens, resident aliens, and legal permanent residents had an obligation to report to the Internal Revenue Service (“IRS”) on the Schedule B of a U.S. Individual Income Tax Return, Form 1040, whether that individual had a financial interest in, or signature authority over, a financial account in a foreign country in a particular year by checking “Yes” or “No” in the appropriate box and identifying the country where the account was maintained.
5. From in or about 1970 forward, U.S. citizens, resident aliens, and legal permanent residents who had a financial interest in, or signature authority over, one or more financial accounts in a foreign country with an aggregate value of more than $10,000 at any time during a particular year were required to file with the Department of the Treasury a Report of Foreign Bank and Financial Accounts, Form TD F 90-22.1 (the “FBAR”). The FBAR for the applicable year was due by June 30 of the following year.
6. An “undeclared account” was a financial account owned by an individual subject to U.S. tax and maintained in a foreign country that had not been reported by the individual account owner to the U.S. government on an income tax return and an FBAR.
7. From in or about the 1930s until the present, Switzerland has maintained laws that ensure the secrecy of client relationships at Swiss banks. Swiss law prohibits the disclosure of identifying information without the client’s authorization, especially to foreign government investigators. These are Swiss criminal laws punished by imprisonment. Because of the secrecy guarantee that they created, these Swiss criminal provisions enabled U.S. clients to conceal their Swiss bank accounts from U.S. authorities.

## OVERVIEW OF THE ILLEGAL U.S. CROSS-BORDER BUSINESS

8. For decades prior to and through in or about 2009, in the Eastern District of Virginia and elsewhere, CREDIT SUISSE did unlawfully, voluntarily, intentionally, and knowingly conspire, combine, confederate, and agree together with others to commit the following offense against the United States: to willfully aid, assist in, procure, counsel, and advise the preparation and presentation of false income tax returns and other documents to the Internal Revenue Service of the Treasury Department, in violation of Title 26, United States Code, Section 7206(2), all in violation of Title 18, United States Code, Section 371.
9. For decades prior to and through in or about 2009, CREDIT SUISSE operated an illegal cross-border banking business that knowingly and willfully aided and assisted thousands of U.S. clients in opening and maintaining undeclared accounts and

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concealing their offshore assets and income from the IRS. CREDIT SUISSE, through certain of its managers, employees, and others, solicited U.S. clients to open undeclared accounts because Swiss bank secrecy would permit them to conceal the U.S. clients' ownership of accounts at CREDIT SUISSE. CREDIT SUISSE used a variety of means to assist U.S. clients in concealing their CREDIT SUISSE undeclared accounts, including by:

- • assisting clients in using sham entities as nominee beneficial owners of the undeclared accounts;
- • soliciting IRS forms that falsely stated under penalties of perjury that the sham entities beneficially owned the assets in the accounts;
- • failing to maintain in the United States records related to the accounts;
- • destroying account records sent to the United States for client review;
- • using CREDIT SUISSE managers and employees as unregistered investment advisors on undeclared accounts;
- • facilitating withdrawals of funds from the undeclared accounts by either providing hand-delivered cash in the United States or using CREDIT SUISSE's correspondent bank accounts in the United States;
- • structuring transfers of funds to evade currency transaction reporting requirements; and
- • providing offshore credit and debit cards to repatriate funds in the undeclared accounts.10. Private bankers (referred to as Relationship Managers or RMs) served as the primary contact for U.S. clients with undeclared accounts at CREDIT SUISSE. Managers (including Supervisory RMs) and RMs (collectively hereafter 'managers') in the illegal U.S. cross-border business actively assisted or otherwise facilitated thousands of U.S. individual taxpayers in establishing and maintaining undeclared accounts in a manner designed to conceal the U.S. taxpayers' ownership or beneficial interest in said accounts. CREDIT SUISSE maintained correspondent bank accounts in the United States through which CREDIT SUISSE managers and others conducted financial transactions in furtherance of its illegal cross-border business.11. As of 2006, CREDIT SUISSE had approximately 22,000 U.S. client accounts with total aggregate assets under management of approximately \$10 billion, which included both declared and undeclared accounts. CREDIT SUISSE maintained undeclared accounts for U.S. clients in different units throughout the bank, but primarily serviced them from various desks located in Zurich and Geneva, Switzerland, including a desk at the Zurich airport. CREDIT SUISSE's Switzerland-based North America

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International desk, internally referred to as “SALN,” employed about 15-20 Swiss-based RMs focused on U.S. resident clients.

12. From in or about 1999 to in or about 2009, certain managers, with the assistance of the Representative Officer, used CREDIT SUISSE’s Representative Office in New York, New York to assist U.S. clients filing false and fraudulent U.S. tax reporting documents, including income tax returns.

13. In or about 2005, CREDIT SUISSE made a filing with the Federal Reserve Bank of New York that concealed these managers’ conduct in support of the tax evasion scheme by stating that its policies required that if the Representative Officer were asked about opening accounts, he “must decline the Customer’s request . . . [i]f the client indicates that he/she intends to avoid paying taxes,” as “[i]t is the policy of Credit Suisse not to provide assistance in the evasion of taxes.” Likewise, in or about 2007, CREDIT SUISSE made another filing with the Federal Reserve that stated that, under CREDIT SUISSE policy for the Representative Office, “employees must not engage in activity that could be viewed as knowingly assisting a client in . . . misleading local or foreign authorities or any tax authority by means of incomplete or missing information.”

14. Approximately 430 CREDIT SUISSE non-SALN RMs employed on other desks or at other Swiss-based offices of CREDIT SUISSE also serviced the accounts of U.S. clients, including declared and undeclared accounts. From at least 2002 through 2008, CREDIT SUISSE non-SALN RMs serviced up to 4,800 U.S. client accounts consisting of up to approximately $3 billion in securities assets under management, which included accounts maintained by clients who had not declared them to the IRS as required by law.

15. Prior to the 2007 merger referenced in paragraph 2, the individual private banks had an individual or group of individuals that serviced undeclared U.S. accounts. After the merger, those individuals or their successors continued to service those accounts and were not consolidated into one group at Clariden Leu. Clariden Leu employed approximately 240 RMs who serviced U.S. accounts (including declared and undeclared) and were not part of a dedicated U.S. desk. Prior to the merger of Clariden Leu into CREDIT SUISSE, Clariden Leu RMs serviced approximately 1,500 U.S. client accounts consisting of up to approximately $2 billion in securities assets under management, which included accounts maintained by clients who had not declared them to the IRS as required by law.

16. Managers engaged in the illegal U.S. cross-border business without appropriate registration with the Securities and Exchange Commission in part to provide broker-dealer and investment adviser services to U.S. clients with undeclared accounts.

17. During the relevant period, Swiss-based CREDIT SUISSE managers regularly traveled to the United States to meet with U.S. clients, including clients with undeclared accounts. Certain of these trips involved visits with dozens of existing U.S. clients,

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including clients located in the Eastern District of Virginia, and prospective U.S. clients. These managers traveled to the United States one to three times per year, in trips that generally varied in duration from one to two weeks, often meeting with several clients per day.

18. In addition, while in Switzerland, these managers communicated via telephone, fax, mail and/or email with certain of their clients in the United States about their account relationships. These communications include the provision of investment advice and the receipt of securities transaction orders.

19. U.S. clients often visited their CREDIT SUISSE RMs in Switzerland and otherwise communicated with their RMs from outside the United States.

20. Due in part to the assistance of CREDIT SUISSE and its personnel, and with the knowledge that Swiss banking secrecy laws would prevent CREDIT SUISSE from disclosing their identities to the IRS, numerous U.S. clients of CREDIT SUISSE filed false and fraudulent U.S. Individual Income Tax Returns, Forms 1040, which failed to report their respective interests in their undeclared accounts and the related income. Certain U.S. clients also failed to file and otherwise report their undeclared accounts on FBARs.

### THE USE OF SHAM ENTITIES

21. From in or about 1910 to at least in or about 1997, CREDIT SUISSE operated a wholly owned subsidiary that, among other things, formed, managed, and maintained structures for clients with accounts at CREDIT SUISSE or Clariden Leu. This subsidiary was known variously as Credit Suisse Fides Trust, Fides Holding, Fides Trust AG, Fides Trust SA, Fides Trust Ltd., and/or Credit Suisse Fides (collectively "Fides").

22. CREDIT SUISSE aided and assisted U.S. clients with undeclared accounts at CREDIT SUISSE to evade their income taxes by placing their assets into accounts held in the names of structures formed, maintained, and managed by Fides. The structures included but were not limited to foundations, trusts, and offshore companies. By the operation of Swiss bank secrecy laws, the U.S. client's ownership would not be disclosed to U.S. authorities. Because CREDIT SUISSE owned and controlled Fides, a U.S. client with an undeclared account at CREDIT SUISSE knew that he or she would retain ultimate control over the assets in the undeclared account.

23. In or about the mid-1990's, the IRS commenced a series of investigations against individuals and entities that promoted income tax evasion through the use of offshore trusts and corporations. As a result, in order to further conceal U.S. undeclared accounts, in or about 1997, the executive management of Fides prompted Josef Dörig, an employee of Fides, to form his own trust company. The management proposed to spin off to Dörig's new company the existing "mandates" (the formal power to act on behalf of the structure) that Fides held for structures linked to U.S. clients' undeclared

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accounts. Further, on an ongoing basis, the executive management of Fides proposed to refer to Dörig's spin-off company U.S. clients with undeclared accounts at CREDIT SUISSE who wished, or were advised, to transfer their undeclared assets to new accounts in the names of structures.

24. On or about December 20, 1997, Fides and Dörig Partner AG, the company formed by Dörig to execute the scheme, entered into a contract to receive the mandates for structures linked to U.S. clients with undeclared accounts.

25. Although Fides no longer held the mandates for the structures linked to U.S. clients with undeclared accounts at CREDIT SUISSE, CREDIT SUISSE did not cause Dörig to close the undeclared accounts and transfer the assets elsewhere. To the contrary, the contract between Fides and Dörig Partner required Dörig Partner to make its best efforts to keep the existing undeclared assets at CREDIT SUISSE. Further, for any referral that Dörig received from CREDIT SUISSE for the creation of a structure for holding undeclared assets, Dörig Partner had to make its best efforts to ensure that the undeclared assets owned by the U.S. person would be held in an account in the name of the new structure at CREDIT SUISSE.

26. In spinning off the mandates for structures linked to undeclared accounts held by U.S. persons, CREDIT SUISSE sought to create the appearance that the structures were legitimate entities operating independently of both CREDIT SUISSE as well as the U.S. person who owned the assets in the undeclared account. Through the spin-off, CREDIT SUISSE sought to shield the corporate entities as well as "its past or present employees to the utmost extent possible." The protection objective was the protection from the U.S. government's crackdown on tax evasion through the use of offshore structures.

27. Despite the formal spin-off, the U.S. person who beneficially owned the assets in the undeclared account continued to exercise direct control over the assets in the undeclared account by communicating directly with the manager of the undeclared account. Further, managers at CREDIT SUISSE represented to individuals with undeclared accounts that Dörig Partner would not take any action as to the undeclared account without the permission of the CREDIT SUISSE manager. Further, CREDIT SUISSE promoted the use of structures for tax evasion purposes by providing information to U.S. clients explaining the secrecy protections of Swiss law and the concealment afforded by use of the structures.

28. CREDIT SUISSE managers coordinated with affiliated trust company providers. From in or about 1997 through in or about 2008, managers at CREDIT SUISSE referred U.S. clients to Dörig Partner, including clients with undeclared accounts. Further, CREDIT SUISSE through SALN entered into a contract with Beda Singenberger, a Zurich-based owner of the trust company SINCO Treuhand, to provide similar trust services. The Geneva desk of SALN maintained a relationship with a law firm in Geneva that also provided structures to CREDIT SUISSE clients, including U.S. clients with undeclared accounts.

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29. From in or about 1997 through in or about 2007, CREDIT SUISSE RMs and Josef Dörig periodically traveled together to the United States to provide services to existing clients with undeclared accounts and to meet with prospective clients. From at least in or about 2005 through in or about 2008, Beda Singenberger routinely advised CREDIT SUISSE managers and Roger Schaerer, the Officer of CREDIT SUISSE's Representative Office in New York City, of Singenberger's itinerary for his trips to the United States to meet with clients, including clients with undeclared accounts at CREDIT SUISSE.

30. Although CREDIT SUISSE maintained relationships with external trust companies to provide structures to U.S. persons with undeclared accounts, from in or about 1997 to in or about 2009, Credit Suisse Trust AG, CREDIT SUISSE's wholly owned subsidiary, in the Bahamas, the Isle of Jersey, Liechtenstein, and elsewhere, also managed structures linked to undeclared accounts held by U.S. clients at CREDIT SUISSE.

# CREDIT SUISSE SUBVERTED THE QI AGREEMENT

31. Effective in or about January 2001, CREDIT SUISSE entered into a Qualified Intermediary Agreement ("QI Agreement") with the IRS. The Qualified Intermediary ("QI") regime provided a comprehensive framework for U.S. information reporting and tax withholding by a non-U.S. financial institution regarding U.S. securities. The QI Agreement was designed to help ensure that non-U.S. persons were subject to the proper U.S. withholding tax rates and that U.S. persons were properly paying U.S. tax, in each case, with respect to U.S. securities held in an account with the QI. QI agreements were subject to a "documentation transition period" announced by the IRS in Notice 2001-4 (Jan. 8, 2001) that gave QIs until the end of 2002 to achieve "substantial compliance" with the provisions of the QI Agreement. The QI Agreement expressly recognizes that a non-U.S. financial institution such as CREDIT SUISSE may be prohibited by foreign law, such as Swiss law, from disclosing an account holder's name or other identifying information. In general, a QI subject to such foreign-law restrictions must request that its U.S. clients either (a) grant the QI authority to disclose the client's identity or disclose himself by mandating the QI to provide an IRS Form W-9 completed by the account holder, or (b) grant the QI authority to sell all U.S. securities of the account holder (in the case of accounts opened before January 1, 2001) or to exclude all U.S. securities from the account (in the case of accounts opened on or after January 1, 2001). Following the effective date of the QI Agreement, a sale of U.S. securities, if any, held by a U.S. person who chose not to provide a QI with an IRS Form W-9 was subject to tax information reporting on an anonymous basis and backup withholding.

32. As a consequence of CREDIT SUISSE's entering into a QI Agreement with the IRS, certain managers suggested that U.S. clients with undeclared accounts transfer their assets to newly created accounts held in the names of sham offshore entities. In connection with those newly created accounts, CREDIT SUISSE managers knowingly

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accepted and included in CREDIT SUISSE's account records IRS Forms W-8BEN (or CREDIT SUISSE's substitute forms) provided by the directors of the offshore companies which represented under penalty of perjury that such companies were the beneficial owners, for U.S. federal income tax purposes, of the assets in the CREDIT SUISSE accounts. In certain cases, the IRS Forms W-8BEN (or CREDIT SUISSE's substitute forms) were false or misleading in that the U.S. taxpayer who owned the offshore company actually directed and controlled the management and disposition of the assets in the company accounts and/or otherwise functioned as the beneficial owner of such assets in disregard of the formalities of the purported corporate ownership.

33. Certain managers of CREDIT SUISSE caused CREDIT SUISSE to make false statements and provided misleading information to the IRS regarding CREDIT SUISSE's compliance with the terms of the QI Agreement.

# ADDITIONAL METHODS AND MEANS OF CONCEALMENT

34. CREDIT SUISSE assisted U.S. clients in repatriating their offshore funds by providing credit or debit cards linked to the undeclared accounts, including cards issued by American Express, Visa, and Maestro. In some instances, the managers mailed or caused to be mailed the credit or debit cards directly to the clients in the United States.

35. Certain CREDIT SUISSE managers and others assisted U.S. clients to execute forms that directed CREDIT SUISSE not to acquire U.S. securities in their accounts, which would require disclosure of their identities to the IRS. The managers also assisted U.S. clients who inherited undeclared accounts at CREDIT SUISSE in opening new undeclared accounts and transfer into those accounts the funds from the inherited accounts.

36. Certain CREDIT SUISSE managers provided cash in the United States to U.S. clients as withdrawals from their undeclared accounts at CREDIT SUISSE in Switzerland. Certain CREDIT SUISSE managers solicited cash deposits in the United States from U.S. clients with undeclared accounts at CREDIT SUISSE in Switzerland. Certain CREDIT SUISSE managers advised U.S. clients to structure, and caused U.S. clients to structure withdrawals from their undeclared accounts in amounts less than $10,000 in an attempt to conceal the transactions from U.S. authorities.

37. Certain CREDIT SUISSE managers also assisted U.S. clients to close their undeclared accounts at CREDIT SUISSE and convert marketable securities into other assets that were stored at CREDIT SUISSE and elsewhere.

38. Certain CREDIT SUISSE managers met with U.S. clients outside of the United States, including in Switzerland and the Bahamas, to provide banking services and investment advice related to their undeclared accounts.

39. Certain CREDIT SUISSE managers advised U.S. clients to not maintain account records related to their undeclared accounts in the United States. Certain CREDIT

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SUISSE managers, along with certain affiliated asset management firms, caused CREDIT SUISSE to retain, in Switzerland, account records related to the U.S. clients' undeclared accounts. Certain CREDIT SUISSE managers had statements and other account records of undeclared accounts maintained by U.S. clients at CREDIT SUISSE sent by e-mail and facsimile from Switzerland to the Representative Office in New York, New York, so that U.S. clients with undeclared accounts could review the documents. CREDIT SUISSE personnel destroyed those documents following the clients' review, in conformance with Swiss data secrecy restrictions and to further conceal the U.S. clients' undeclared accounts.

## CREDIT SUISSE SIMULTANEOUSLY OPERATED LEGAL AND ILLEGAL CROSS-BORDER BUSINESSES

40. At least as early as on or about November 6, 2000, executives of CREDIT SUISSE's private banking unit discussed creating a "new model for servicing offshore U.S. clients" that involved a new, fully registered, tax compliant broker-dealer and investment advisor. As part of this new model, U.S. taxpayers with accounts would be issued Forms 1099 reporting their investment income. This model was flawed in that it only attempted to centralize and legalize services to clients who had provided Forms W-9. The vast majority of U.S. undeclared accountholders at CREDIT SUISSE had not provided a Form W-9 to CREDIT SUISSE.

41. This new legal entity was created in or about mid-2002 and named Credit Suisse Private Advisors ("CSPA"). Only clients who had submitted Forms W-9 were expected to be transferred to CSPA. At that time, CREDIT SUISSE did not mandate that all U.S. accountholders, regardless of whether a Form W-9 was on file, transfer their accounts to CSPA and become fully tax compliant. CREDIT SUISSE set a minimum account balance threshold of $1 million in order to be transferred into CSPA; thus, some accounts were not transferred to CSPA because of the eligibility requirements set by CREDIT SUISSE.

42. CSPA ran in parallel to the illegal cross-border business at CREDIT SUISSE. Indeed, the head of CSPA reported to the head of SALN, who managed the team dedicated to servicing U.S. clients, many of whom had undeclared accounts. Separately, although approximately 6,000 non-W-9 U.S. clients were expected to be centralized at the SALN desk, CREDIT SUISSE did not mandate that those clients become tax compliant.

43. By 2006, CREDIT SUISSE had made little progress in the transfer of the W-9 U.S. clients to CSPA or the centralization of non-W-9 U.S. clients with SALN. By in or about September 2006, less than 20% of the W-9 U.S. clients (comprising approximately $500 million in assets under management) had agreed to be transferred. Furthermore, the transfer and consolidation exercise of undeclared accounts in SALN was behind plan; only 60% of assets under management belonging to non-W-9 U.S. clients had been transferred.

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44. In or about 2006, CREDIT SUISSE began another set of initiatives to attempt to either move W-9 clients to CSPA or close the accounts, and to transfer non-W-9 clients to SALN. As with the 2002 initiatives, these efforts failed due in part to managers' resistance and CREDIT SUISSE's failure to overcome that resistance. Rather than close the accounts of those who had not agreed to be transferred to CSPA, CREDIT SUISSE continued to maintain their accounts for a period of years.

45. CREDIT SUISSE operated CSPA from in or about mid-2002 until in or about 2011. The CSPA initiative ultimately failed as a business, in part due to U.S. clients' unwillingness to pay a premium for accounts in Switzerland if their accounts were declared and tax compliant. Moreover, CREDIT SUISSE executives did not take any of three steps that could have ensured compliance with U.S. law: (1) mandating that managers transfer all U.S. accounts to CSPA, which would include declared and undeclared accounts; (2) creating incentives for managers to do so; and (3) penalizing managers who failed to or refused to transfer their clients to CSPA.

46. CREDIT SUISSE did not require all of its W-9 accounts to transfer their assets to CSPA out of concern that the bank would have an outflow of assets and managers would leave the bank.

### CREDIT SUISSE'S INEFFECTUAL POLICIES, TRAINING, AND AUDITS

47. CREDIT SUISSE's promulgation of policies and compliance training regarding U.S. undeclared accountholders was ineffective in eliminating the illegal cross-border business. For example, on or about November 26, 2002, CREDIT SUISSE enacted a directive governing relationships with U.S. clients (the "U.S. persons directive") that included restrictions governing communications with U.S. persons and travel to the U.S. and also included a prohibition on providing investment advice in the United States. In addition, CREDIT SUISSE enacted a directive governing foreign travel by managers, in order to provide guidelines to managers for conducting the U.S. cross-border business to ensure, among other things, "uniform adherence to the restrictions applicable under US law to bank relationships with US Persons and US Taxpayers." Despite these directives and training, managers continued to travel to the U.S. and communicate with U.S. clients in managing their undeclared accounts.

48. In addition, CREDIT SUISSE also conducted ineffectual internal audits to ensure compliance with the directives and policies regarding U.S. clients. First, while CREDIT SUISSE audited SALN with respect to the U.S. persons and travel directives, it did not audit for tax compliance of U.S. linked client accounts.

49. Second, CREDIT SUISSE did not audit other areas of the bank that serviced U.S. clients' accounts for tax compliance, despite the fact that the majority of the undeclared accounts were serviced outside of SALN.

50. Third, the internal audits of SALN conducted by CREDIT SUISSE in 2001, 2003, 2006, and 2009 did not identify the rampant violations of U.S. tax law and CREDIT

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SUISSE's own policies that had occurred. The 2001, 2003 and 2009 audits either found "no issues" or "minor issues," despite the fact that some of the travel reports provided to internal auditors reflected visits with prospective U.S. clients and the receipt of new money from those clients was estimated to have a potential value of millions of U.S. dollars. CREDIT SUISSE's 2006 internal audit of SALN preliminarily raised concerns that certain SALN managers may have violated the U.S. persons directive during business trips to the United States because CREDIT SUISSE's internal auditors had received reports that reflected that certain SALN managers had met with prospective U.S. clients and had obtained new assets on business trips to the United States. The internal auditors were also subsequently provided with travel reports that were edited by some SALN employees to omit any mention of conduct that violated the U.S. persons directive. Following meetings between internal auditors and the head of SALN, the preliminary findings were excluded from the final audit report.

51. In or about 2006, CREDIT SUISSE also initiated the "Cross-Border+ (Plus) Project" (the "CB+ Project"). An impetus for the CB+ Project was the March 2006 arrest of several CREDIT SUISSE bankers in Brazil, including the head of CREDIT SUISSE's private banking unit in Brazil, for conducting business in violation of Brazil's laws. The CB+ Project included a review of CREDIT SUISSE's policies regarding the U.S. cross-border business. However, it did not investigate the actual practices of managers in the illegal cross-border business. CREDIT SUISSE's attempts to strengthen its cross-border business policies did not stop private bankers from opening and servicing undeclared accounts for U.S. clients.

52. CREDIT SUISSE did not develop and implement an effective system of supervisory and compliance controls over the managers in the U.S. cross-border business to prevent and detect violations of CREDIT SUISSE policies regarding the proper handling of accounts for offshore companies beneficially owned by U.S. persons. CREDIT SUISSE failed to effectively monitor and control the activities of certain managers in the U.S. cross-border business. As a result, some managers at Clariden Leu came to believe that a certain degree of non-compliance with CREDIT SUISSE policy was acceptable in connection with operating the U.S. cross-border business. In addition, some managers at CREDIT SUISSE came to believe that they could successfully avoid the restrictions contained in CREDIT SUISSE's policy regarding its cross-border business.

53. Despite the above-described policies prohibiting certain contacts with U.S. persons, CREDIT SUISSE did not capture and record instances when managers in the U.S. cross-border business may have violated U.S. laws. As a result, CREDIT SUISSE did not effectively monitor such activity and thus was not able to determine whether or not such activity may have required tax information reporting and backup withholding for certain payments made to the accounts of such clients. Consequently, certain managers continued to engage in behavior that violated not only CREDIT SUISSE's directives and policies, but also the U.S. federal tax laws.

11

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### CREDIT SUISSE'S FLAWED EXIT OF THE ILLEGAL CROSS-BORDER BUSINESS

54. In or about January 2008, another Swiss bank, UBS AG ("UBS"), publicly announced that it would no longer allow new U.S. clients seeking securities-related services; rather, it would only allow U.S. clients seeking banking services to open accounts.

55. In or about May 2008, CREDIT SUISSE's U.S. persons policy was revised to provide that "RMs may travel to the US to visit existing clients only if the visit is initiated by the client, is for a purely and exclusively social nature and no discussion is had relating to securities or investments. As a prerequisite for such travel, the RM must complete a US Cross-Border training session and follow the procedures for obtaining the relevant travel approval. Visits to prospective clients are not permitted."

56. Following a much-publicized U.S. Department of Justice criminal tax investigation, in or about July 2008, UBS formally announced that it would cease providing banking services to U.S. clients through its non-U.S. regulated entities.

57. Following UBS's July 2008 announcement, CREDIT SUISSE circulated a legal and compliance alert that prohibited inflows of funds into existing or newly opened accounts from UBS and another Swiss bank that had come under fire for helping U.S. citizens shelter assets from the IRS and evade taxes. The alert also required accounts for non-U.S. domiciled companies with a U.S. taxpayer beneficial owner to demonstrate U.S. tax compliance and be opened with a U.S.-licensed arm of CREDIT SUISSE.

58. Within days of the news regarding UBS, CREDIT SUISSE's management began an enhanced examination of CREDIT SUISSE's U.S. cross-border business. The examination was internally referred to as the "US Project." As a result of this analysis, in or about late 2008, CREDIT SUISSE's management decided to terminate accounts of U.S. domiciliary companies with U.S. beneficial owners who could not establish tax compliance. In or about Spring 2009, CREDIT SUISSE stopped opening new U.S. client accounts for U.S. residents and existing U.S. resident clients were offered a choice: transfer to CSPA (or another U.S.-licensed affiliate of CREDIT SUISSE) and, if they were not already tax compliant, become tax compliant or leave the bank.

59. Starting in or about 2009, CREDIT SUISSE engaged in a flawed process of verifying tax compliance of U.S. accounts in order to allow these accounts to remain at CREDIT SUISSE, although the process improved over time. For example, it relied only on database searches and did not individually review accounts of managers who may have handled U.S. undeclared accounts. Further, when CREDIT SUISSE identified U.S. accounts that may have been undeclared, it did not interview the managers who had serviced the accounts to determine how the account had remained undetected after CREDIT SUISSE began its internal investigation by outside counsel. During the internal investigation, which began in early 2011, after identifying U.S. linked accounts in its systems, the bank engaged in a manual review of account files to

12

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Case 1:14-cr-00188-RBS Document 14 Filed 05/19/14 Page 13 of 16 PageID# 48

determine whether the client was a U.S. person, and engaged an independent accounting firm to review the completeness of the bank's review.

60. CREDIT SUISSE permitted the managers who oversaw the undeclared accounts to determine how to close the accounts. As a result, certain managers assisted clients in continuing to conceal their accounts from the IRS through, for example, changing beneficiaries to non-U.S. persons. For those accounts that could not be maintained by CREDIT SUISSE, certain managers assisted their U.S. clients in identifying other offshore financial institutions in Switzerland and elsewhere that would accept accounts held by U.S. persons, which further aided the clients in concealing their accounts from the IRS. Finally, certain CREDIT SUISSE managers discouraged U.S. clients from disclosing their undeclared accounts to the IRS through the Voluntary Disclosure Program. Other managers encouraged U.S. clients to disclose undeclared accounts to the IRS.

61. Although CREDIT SUISSE had either transferred or terminated the majority of its relationships with U.S. clients by in or about 2010, CREDIT SUISSE continued to identify U.S. customer accounts for closure until in or about 2013, including dormant and recalcitrant accounts with illiquid assets.

62. Clariden Leu engaged in a similar exit program starting in or about 2008, but did not create a CSPA-type compliant entity. Rather, Clariden Leu required U.S. clients to either demonstrate tax compliance or terminate the relationship. However, the integration of Clariden Leu into Credit Suisse AG beginning in April 2012 revealed certain flaws in Clariden Leu's exit program: when undeclared accounts previously handled by Clariden Leu managers were reassigned to CREDIT SUISSE managers, they immediately identified that the owners of these Clariden Leu accounts were U.S. persons and sought to close the accounts.

63. CREDIT SUISSE did not put in place a new management team to handle the exit process, although the process was supervised by a broad cross-disciplinary team from both the business and control functions.

### CREDIT SUISSE'S INTERNAL INVESTIGATION AND FAILURE TO PRESERVE CERTAIN DOCUMENTS

64. CREDIT SUISSE did not begin its internal investigation until early 2011 and did not preserve certain evidence of the criminal wrongdoing.

65. In February 2009, UBS signed a Deferred Prosecution Agreement regarding its illegal cross-border business. UBS agreed to a Statement of Facts that described the operations of its illegal cross-border business, which bore substantial similarities to CREDIT SUISSE's operation of its illegal cross-border business.

66. In October 2009, CREDIT SUISSE representatives met with the Senate Permanent Subcommittee on Investigations and the Tax Division of the U.S. Department of

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Case 1:14-cr-00188-RBS Document 14 Filed 05/19/14 Page 14 of 16 PageID# 49

Justice to notify them that CREDIT SUISSE was executing its exit process for U.S. clients with Swiss accounts. CREDIT SUISSE made a second presentation on the exit process to the Tax Division in or about March 2010.

67. In December 2010, the Tax Division of the U.S. Department of Justice informed CREDIT SUISSE that the Department of Justice had begun a criminal investigation of CREDIT SUISSE and that the investigation had uncovered evidence of tax law violations by managers at SALN.

68. In response to its notice of the initiation of the Department of Justice's criminal investigation, CREDIT SUISSE began a formal internal investigation in January 2011, focused initially on SALN.

69. By the time CREDIT SUISSE began to fully engage in its internal investigation, certain culpable individuals had left the bank's employ. CREDIT SUISSE had failed to interview a number of the culpable individuals prior to their departures, and CREDIT SUISSE did not have access to those individuals after their departures. CREDIT SUISSE conceded that it was unable to fully uncover what transpired at Clariden Leu and its predecessors, in part because of the delays.

70. In addition, CREDIT SUISSE and Clariden Leu failed to implement adequate document and e-mail retention policies, in that the bank did not retain e-mails of employees who departed before August 2010, although it had been retaining U.S. account records and e-mail of all current employees. CREDIT SUISSE and Clariden Leu did not issue an order to preserve all e-mails related to the cross-border business until in August 2010. Clariden Leu did not implement a comprehensive litigation hold on documents until July 2011, after the return of the superseding indictment that charged Andreas Bachmann, among others. CREDIT SUISSE has taken steps to recover as many documents in Switzerland from that earlier period as possible.

71. One effect of these policies and actions was that certain documents and e-mails in Switzerland were not preserved, despite CREDIT SUISSE's management's awareness of various U.S. criminal tax investigations.

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72. CREDIT SUISSE's delays and failure to take these actions limited the information available to the internal investigation, and as a result, encumbered the scope and progress of the criminal investigation being conducted by U.S. law enforcement authorities.

73. The acts taken by the defendant, Credit Suisse AG, in furtherance of the offense charged in this case, including the acts described above, were done willfully and knowingly with the specific intent to violate the law. The defendant acknowledges that the foregoing statement of facts does not describe all of the defendant's conduct relating to the offense charged in this case nor does it identify all of the persons with whom the defendant may have engaged in illegal activities.

Respectfully submitted,

DANA J. BOENTE
United States Attorney

KATHRYN KENEALLY
Assistant Attorney General
Tax Division

5-19-2014  
Mark D. Lytle  
Assistant U.S. Attorney

5-19-2014  
Mark F. Daly  
Senior Litigation Counsel  
Nanette L. Davis  
Assistant Chief

15

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Case 1:14-cr-00188-RBS Document 14 Filed 05/19/14 Page 16 of 16 PageID# 51

After consulting with its attorney and pursuant to the plea agreement entered into this day between the defendant, Credit Suisse AG, and the United States, I, the designated corporate representative authorized by the Board of Directors, hereby stipulate that the above Statement of Facts is true and accurate, and that had the matter proceeded to trial, the United States would have proved the same beyond a reasonable doubt.

Date: 5/19/14 Credit Suisse AG

We are Credit Suisse AG's attorneys. We have carefully reviewed the above Statement of Facts with the Board of Directors. To our knowledge, the Board of Directors' decision to stipulate to these facts is an informed and voluntary one.

Date: 5/19/14 Christopher A. Wray
Andrew C. Hruska
Michael R. Pauzé
Counsel for the Defendant

16

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

**Attachment 5:** `05-19-2014WaiverofIndictment.pdf`

Case 1:14-cr-00188-RBS Document 12 Filed 05/19/14 Page 1 of 1 PageID# 18

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

# IN THE UNITED STATES DISTRICT COURT FOR THE
EASTERN DISTRICT OF VIRGINIA

Alexandria Division

UNITED STATES OF AMERICA
v.
CREDIT SUISSE AG,
Defendant.

CRIMINAL NO. 1:14-CR-188

# WAIVER OF AN INDICTMENT

I, Alan Reifenberg, acting on behalf of Credit Suisse AG, understand that Credit Suisse
AG has been accused of an offense punishable by imprisonment for more than one year. I was
advised in open court of Credit Suisse AG's rights and the nature of the proposed charge against
Credit Suisse AG.

After receiving this advice, Credit Suisse AG waives its right to prosecution by
indictment and consents to prosecution by information.

Date: 5/19/14

Corporate Representative's Signature

Alan Reifenberg
Printed Name of Corporate Representative

Signature of defendant's attorney
EDMUND P. PAWOTA
Christopher A. Wray
Printed name of defendant's attorney

/s/
Rebecca Beach Smith
Chief United States District Judge

MDZ
CS
CRW
AR
BPP

**Attachment 6:** `CSI_Additional_Information1.pdf`

The contents of Credit Suisse AG's/Credit Suisse International's Disclosure Reporting Pages ('DRPs') have primarily been drawn from DRPs previously filed by Credit Suisse Securities (USA) LLC ('CSSU') in its capacity as an SEC-registered broker-dealer, as CSSU and Credit Suisse AG are both under common control with CS Group AG. CSSU's DRPs date back to 1986, and thus Credit Suisse AG's disclosures will also begin in 1986. In addition, CSSU and CS Capital LLC's regulatory matter and civil matter DRPs are already available in the CRD system, and thus only one DRP will be filed for those two entities in each category. Please contact Alfred Nunn (phone number +1-212-538-6648 or alfred.nunn@credit-suisse.com) if any additional disclosures for Credit Suisse AG and its affiliated entities are necessary.'

Please note that when a date is not available for a date field in the form, a value of 1/1/1900 has been inserted as a placeholder.

We are currently unable to add Criminal and Civil Judicial DRPs in EDGAR as the system is not allowing us to populate certain fields needed to complete the submission. In the interim, we are answering 'No' to the applicable Schedule D questions regarding Criminal and Civil Judicial in order to complete processing while providing our Criminal and Civil Judicial DRP submissions using the attached PDFs CSI-SBSEA-CriminalDRP.pdf and CSI-SBSEA-CivilJudicialDRP.pdf. We have also included the applicable court documents.

Additionally, we are unable to add Schedule B Section II descriptions covering arrangements, controls and agreements, and finance. In the interim, we have provided our descriptions using the attached PDF, CSI_FormSBSEA_ScheduleB_13-15.pdf.

**Attachment 7:** `CSI_SBSE-A_CivilJudicialDRP.pdf`

# **CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (SBSE-A) to Items H**
**CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (SBSE-A)**

| GENERAL INSTRUCTIONS |  |
| --- | --- |
|  | This Disclosure Reporting Page [DRP (SBSE-A)] is an [✓] INITIAL OR [ ] AMENDED response to report details for affirmative responses to Item H of Schedule D of Form SBSE-A; Check [✓] item(s) being responded to: H (1) Has any domestic or foreign civil judicial court: [ ] (a) in the past ten years, enjoined the principal in connection with any investment-related activity? [✓] (b) ever found that the principal was involved in a violation of investment-related statutes or regulations? [ ] (c) ever dismissed, pursuant to a settlement agreement, an investment-related civil judicial action brought against the principal by a state or foreign financial regulatory authority? H(2) [ ] Is the principal now the subject of any civil judicial proceeding that could result in a "yes" answer to any part of H? |
|  | Use a separate DRP for each event or proceeding . An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. One event may result in more than one affirmative answer to Item H. Use only one DRP to report details related to the same event. Unrelated civil judicial actions must be reported on separate DRPs. It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP. If a principal is an individual or organization registered through the CRD, such principal need only complete Part I of the applicant's appropriate DRP (SBSE-A). Details of the event must be submitted on the principal's appropriate DRP (BD) or DRP (U-4). If a principal is an organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE-A). The completion of this DRP does not relieve the principal of its obligation to update its CRD records. |
| PART I |  |
| A | If the principal is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox. |
|  | Name of Principal : CREDIT SUISSE AG |
|  | CRD Number: |
|  | Registered: [ ] Yes [X] No |
|  | [ ] This DRP should be removed from the SBS Entity record because the principal is no longer associated with the SBS Entity. |
| B | If the principal is registered through the CRD, has the principal submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? [ ] Yes [X] No If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II. |
|  | Note: The completion of this Form does not relieve the principal of its obligation to update its CRD records. |
| 1 | Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc. ) CLAYMORE HOLDING, LLC |
| 2 | Principal Relief Sought: (check appropriate item) [ ] Civil Penalty(ies)/Fine(s) [ ] Cease and Desist [ ] Injunction [ ] Disgorgement [ ] Restitution [ ] Money Damages (Private/Civil Complaint) [ ] Other _____ [ ] Restraining Order |
|  | Other Relief Sought: |

| 3 | Filing Date of Court Action (MM/DD/YYYY) 07/16/2013 | ☑ Exact | ☐ Explanation |
| --- | --- | --- | --- |
| If not exact, provide explanation: |  |  |  |
| 4 | Principal Product Type: (check appropriate item): |  |  |
|  | ☐ Annuity(ies) - Fixed ☐ Annuity(ies) - Variable ☐ Banking Products (other than CD(s)) ☐ CD(s) ☐ Commodity Option(s) ☐ Debt - Asset Backed ☐ Debt - Corporate ☐ Debt - Government ☐ Debt - Municipal ☐ Derivative(s) ☐ Direct Investment(s) - DPP & LP Interest(s) ☐ Equity - OTC ☐ Equity Listed (Common & Preferred Stock) | ☐ Futures - Commodity ☐ Futures - Financial ☐ Index Option(s) ☐ Insurance ☐ Investment Contract(s) ☐ Money Market Fund(s) ☐ Mutual Fund(s) ☐ No Product ☐ Options ☐ Penny Stock(s) ☐ Unit Investment Trust(s) ☑ Other _____ |  |
| Other Product Type: LOAN |  |  |  |
| 5 | Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case Number): DISTRICT COURT OF DALLAS COUNTY, TEXAS |  |  |
| 6 | Control Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): |  |  |
| 7 | Describe the allegations related to this civil action. (The information must fit within the space provided. ): CREDIT SUISSE ARRANGED AND SYNDICATED A LOAN REFINANCING FOR LAKE LAS VEGAS ("LLV"), A MASTER PLANNED COMMUNITY IN HENDERSON, NEVADA IN JUNE 2007. PLAINTIFF ALLEGES THAT CREDIT SUISSE, ALONG WITH THE APPRAISAL FIRM CB RICHARD ELLIS "CONCOCT[ED] AND APPROV[ED]" AN UNREASONABLE AND INFLATED APPRAISAL OF THE DEVELOPMENT THAT WAS PROVIDED TO THE INVESTORS IN THE REFINANCED LOAN, INCLUDING THE HIGHLAND-MANAGED FUNDS. THE HIGHLAND-MANAGED FUNDS PURCHASED OVER $250M OF THE $540 MILLION IN DEBT ISSUED IN CONNECTION WITH THE REFINANCING AND SUBSEQUENTLY ACQUIRED ADDITIONAL INTERESTS IN THE LOAN, INCLUDING ON THE SECONDARY MARKET. LLV FILED FOR BANKRUPTCY IN JULY 2008. THE COMPLAINT ALLEGES CLAIMS FOR BREACH OF CONTRACT (REGARDING THE CREDIT AGREEMENT), BREACH OF DUTY OF GOOD FAITH AND FAIR DEALING, FRAUD BY NON-DISCLOSURE, FRAUDULENT INDUCEMENT, AIDING AND ABETTING FRAUD, CIVIL CONSPIRACY AND UNJUST ENRICHMENT. THE COMPLAINT NAMES BOTH CREDIT SUISSE AG, CAYMAN ISLANDS BRANCH AND CREDIT SUISSE SECURITIES (USA) LLC. |  |  |
| 8 | Current Status? | ☐ Pending | ☐ On Appeal ☑ Final |
| 9 | If on appeal, action appealed to (provide name of court): | Date Appeal Filed (MM/DD/YYYY): |  |
| 10 | If pending, date notice/process was served (MM/DD/YYYY) | ☐ Exact | ☐ Explanation |
| If not exact, provide explanation: |  |  |  |
| If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only. |  |  |  |

2

| 11 | How was matter resolved: (check appropriate item): ☐ Consent ☑ Judgement Rendered ☐ Settled ☐ Dismissed ☐ Opinion ☐ Withdrawn ☐ Other _____ |  |  |
| --- | --- | --- | --- |
| 12 | Resolution Date (MM/DD/YYYY) 09/04/2015 | ☑ Exact | ☐ Explanation |
|  | If not exact, provide explanation: |  |  |
| 13 | Resolution Detail |  |  |
|  | A | Were any of the following Sanctions Ordered or Relief Granted? (Check all appropriate items): ☑ Monetary/Fine ☐ Revocation/Expulsion/Denial ☐ Disgorgement/Restitution ☐ Amount $ $211863998. 56 ☐ Censure ☐ Cease and Desist/Injunction ☐ Bar ☐ Suspension |  |
|  | B | Other Sanctions: |  |
|  | C | Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc. ). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against applicant or control affiliate, date paid and if any portion of penalty was waived. FIRMS WERE FINED $211,863,998. 56 |  |
| 14 | Provide a brief summary of details related to action(s), allegation(s), disposition(s), and/or finding(s) disclosed above. (The information must fit within the space provided. ) |  |  |

### CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (SBSE-A)

| GENERAL INSTRUCTIONS |  |
| --- | --- |
|  | This Disclosure Reporting Page [DRP (SBSE-A)] is an [√] INITIAL OR [ ] AMENDED response to report details for affirmative responses to Item H of Schedule D of Form SBSE-A; Check [√] item(s) being responded to: H (1) Has any domestic or foreign civil judicial court: ☐ (a) in the past ten years, enjoined the principal in connection with any investment-related activity? ☐ (b) ever found that the principal was involved in a violation of investment-related statutes or regulations? ☐ (c) ever dismissed, pursuant to a settlement agreement, an investment-related civil judicial action brought against the principal by a state or foreign financial regulatory authority? H(2) [√] Is the principal now the subject of any civil judicial proceeding that could result in a “yes” answer to any part of H? |
|  | Use a separate DRP for each event or proceeding . An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. One event may result in more than one affirmative answer to Item H. Use only one DRP to report details related to the same event. Unrelated civil judicial actions must be reported on separate DRPs. It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP. If a principal is an individual or organization registered through the CRD, such principal need only complete Part I of the applicant’s appropriate DRP (SBSE-A). Details of the event must be submitted on the principal’s appropriate DRP (BD) or DRP (U-4). If a principal is an organization not registered through the CRD, provide complete answers to all the items on the applicant’s appropriate DRP (SBSE-A). The completion of this DRP does not relieve the principal of its obligation to update its CRD records. |
| PART I |  |
| A | If the principal is registered with the CRD, provide the CRD number. If not, indicate “non-registered” by checking the appropriate checkbox. |
|  | Name of Principal : CREDIT SUISSE AG |
|  | CRD Number: |

3

|  | Registered: | ☐ Yes ☑ No |  |
| --- | --- | --- | --- |
|  | ☐ This DRP should be removed from the SBS Entity record because the principal is no longer associated with the SBS Entity. |  |  |
| B | If the principal is registered through the CRD, has the principal submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II. | ☐ Yes ☑ No |  |
|  | Note: The completion of this Form does not relieve the principal of its obligation to update its CRD records. |  |  |
| PART II |  |  |  |
| 1 | Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc. ) PRIVATE PLAINTIFF - CITY OF LIVONIA |  |  |
| 2 | Principal Relief Sought: (check appropriate item) ☐ Cease and Desist ☐ Disgorgement ☐ Money Damages (Private/Civil Complaint) ☐ Restraining Order | ☐ Civil Penalty(ies)/Fine(s) ☐ Injunction ☐ Restitution ☑ Other _____ |  |
|  | Other Relief Sought: ADJUDGE THAT DEFENDANTS VIOLATED FEDERAL AND STATE LAWS; AWARD PLAINTIFFS AND MEMBERS OF THE CLASS TREBLE DAMAGES; AWARD REASONABLE ATTORNEY'S FEES AND COSTS OF SUIT; AWARD PRE- AND POST-JUDGMENT INTEREST; ESTABLISH A CONSTRUCTIVE TRUST INTO WHICH DEFENDANTS BE MADE TO DISGORGE ALL ILL-GOTTEN GAINS FROM WHICH PLAINTIFFS AND MEMBERS OF THE CLASS MAY OBTAIN RESTITUTION; AND GRANT SUCH OTHER, FURTHER AND DIFFERENT RELIEF AS MAY BE JUST AND PROPER. |  |  |
| 3 | Filing Date of Court Action (MM/DD/YYYY) 01/31/2019 | ☑ Exact | ☐ Explanation |
|  | If not exact, provide explanation: |  |  |
| 4 | Principal Product Type: (check appropriate item): |  |  |
|  | ☐ Annuity(ies) - Fixed ☐ Annuity(ies) - Variable ☐ Banking Products (other than CD(s)) ☐ CD(s) ☐ Commodity Option(s) ☐ Debt - Asset Backed ☐ Debt - Corporate ☐ Debt - Government ☐ Debt - Municipal ☐ Derivative(s) ☐ Direct Investment(s) - DPP & LP Interest(s) ☐ Equity - OTC ☐ Equity Listed (Common & Preferred Stock) | ☐ Futures - Commodity ☐ Futures - Financial ☐ Index Option(s) ☐ Insurance ☐ Investment Contract(s) ☐ Money Market Fund(s) ☐ Mutual Fund(s) ☐ No Product ☐ Options ☐ Penny Stock(s) ☐ Unit Investment Trust(s) ☑ Other _____ |  |
|  | Other Product Type: LIBOR |  |  |

4

| 5 | Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case Number): UNITED STATES DISTRICT COURT, SOUTHERN DISTRICT OF NEW YORK; CASE 1:19-CV-00965 |  |  |  |
| --- | --- | --- | --- | --- |
| 6 | Control Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): |  |  |  |
| 7 | Describe the allegations related to this civil action. (The information must fit within the space provided. ): THE COMPLAINT ALLEGES THAT THE USD ICE LIBOR RATE FROM 2014 TO THE PRESENT HAS COLLUSIVELY BEEN SET ARTIFICIALLY LOW BY ALL DEFENDANTS, WHO INCLUDE THE PANEL BANKS AND CERTAIN AFFILIATES AND ICE AND ITS AFFILIATES. PLAINTIFF ALLEGES A "PROFIT-MOTIVATED CONSPIRACY" TO SET USD ICE LIBOR LOWER SO THAT THE PANEL BANK DEFENDANTS COULD MAKE LOWER INTEREST PAYMENTS ON FLOATING RATE NOTES AND INTEREST RATE SWAPS. IN ADDITION TO THE MOTIVE, PLAINTIFF CONTENDS THAT DEFENDANTS HAD THE OPPORTUNITY TO CONSPIRE THROUGH THE ICE PROCESS AND RECIDIVISM (ALLEGED MISCONDUCT WITH RESPECT TO LIBOR RATES IN THE PAST) SUPPORTS THE PRESENT CONSPIRACY. PLAINTIFF ALSO ASSERTS THAT ICE AND THE PANEL BANK DEFENDANTS FURTHERED THE CONSPIRACY BY CONCEALING THE "LACK OF INTERBANK FUNDING UNDERLYING USD ICE LIBOR DURING THE CLASS PERIOD." TO SET ICE LIBOR, THE PANEL BANKS WERE INSTRUCTED TO ANSWER THE QUESTION: "AT WHAT RATE COULD YOU BORROW FUNDS, WERE YOU TO DO SO BY ASKING FOR AND THEN ACCEPTING INTERBANK OFFERS IN A REASONABLE MARKET SIZE JUST PRIOR TO 11AM?" PLAINTIFF ASSERTS THAT TO ANSWER OR EVEN ASK THIS QUESTION SUGGESTED THE EXISTENCE OF AN ACTIVE "INTERBANK" FUNDING MARKET; HOWEVER, THERE WAS NO SUCH UNDERLYING MARKET, THE PLAINTIFF CLAIMS. PLAINTIFF HAS ASSERTED TWO CLAIMS: ONE FOR PRICE-FIXING UNDER THE SHERMAN ACT AND ONE FOR UNJUST ENRICHMENT, BOTH PURPORTEDLY ON BEHALF OF A CLASS OF ALL PERSONS OR ENTITIES RESIDING IN THE UNITED STATES THAT DIRECTLY TRANSACTED WITH A PANEL BANK DEFENDANT IN AN ICE LIBOR-LINKED FLOATING RATE DEBT INSTRUMENT OR SWAP DURING THE CLASS PERIOD. CITY OF LIVONIA HAS NOT ALLEGED ANY SPECIFIC TRADES WITH CREDIT SUISSE, AND THERE ARE NO CREDIT SUISSE-SPECIFIC ALLEGATIONS OTHER THAN ICE LIBOR SUBMISSION DATA AND RELATED STATISTICS. |  |  |  |
| 8 | Current Status? | ☑ Pending | ☐ On Appeal | ☐ Final |
| 9 | If on appeal, action appealed to (provide name of court): | Date Appeal Filed (MM/DD/YYYY): |  |  |
| 10 | If pending, date notice/process was served (MM/DD/YYYY) 01/31/2019 | ☐ Exact | ☑ Explanation |  |
|  | If not exact, provide explanation: WHILE THE COMPLAINT WAS FILED ON 01/31/2019; IT HAS NOT YET BEEN FORMALLY SERVED. |  |  |  |
| If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only. |  |  |  |  |
| 11 | How was matter resolved: (check appropriate item): ☐ Consent ☐ Judgement Rendered ☐ Settled ☐ Dismissed ☐ Opinion ☐ Withdrawn ☐ Other _____ |  |  |  |
| 12 | Resolution Date (MM/DD/YYYY) | ☐ Exact | ☐ Explanation |  |

5

|  | If not exact, provide explanation: |
| --- | --- |
| 13 | Resolution Detail |
| A | Were any of the following Sanctions Ordered or Relief Granted? (Check all appropriate items): ☐ Monetary/Fine ☐ Revocation/Expulsion/Denial ☐ Disgorgement/Restitution ☐ Amount $ ☐ Censure ☐ Cease and Desist/Injunction ☐ Bar ☐ Suspension |
| B | Other Sanctions: |
| C | Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc. ). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against applicant or control affiliate, date paid and if any portion of penalty was waived. |
| 14 | Provide a brief summary of details related to action(s), allegation(s), disposition(s), and/or finding(s) disclosed above. (The information must fit within the space provided. ) THE COMPLAINT ALLEGES THAT THE USD ICE LIBOR RATE FROM 2014 TO THE PRESENT HAS COLLUSIVELY BEEN SET ARTIFICIALLY LOW BY ALL DEFENDANTS, WHO INCLUDE THE PANEL BANKS AND CERTAIN AFFILIATES AND ICE AND ITS AFFILIATES. PLAINTIFF ALLEGES A 'PROFIT-MOTIVATED CONSPIRACY' TO SET USD ICE LIBOR LOWER SO THAT THE PANEL BANK DEFENDANTS COULD MAKE LOWER INTEREST PAYMENTS ON FLOATING RATE NOTES AND INTEREST RATE SWAPS. IN ADDITION TO THE MOTIVE, PLAINTIFF CONTENDS THAT DEFENDANTS HAD THE OPPORTUNITY TO CONSPIRE THROUGH THE ICE PROCESS AND RECIDIVISM (ALLEGED MISCONDUCT WITH RESPECT TO LIBOR RATES IN THE PAST) SUPPORTS THE PRESENT CONSPIRACY. PLAINTIFF ALSO ASSERTS THAT ICE AND THE PANEL BANK DEFENDANTS FURTHERED THE CONSPIRACY BY CONCEALING THE 'LACK OF INTERBANK FUNDING UNDERLYING USD ICE LIBOR DURING THE CLASS PERIOD. ' TO SET ICE LIBOR, THE PANEL BANKS WERE INSTRUCTED TO ANSWER THE QUESTION: 'AT WHAT RATE COULD YOU BORROW FUNDS, WERE YOU TO DO SO BY ASKING FOR AND THEN ACCEPTING INTERBANK OFFERS IN A REASONABLE MARKET SIZE JUST PRIOR TO 11AM?' PLAINTIFF ASSERTS THAT TO ANSWER OR EVEN ASK THIS QUESTION SUGGESTED THE EXISTENCE OF AN ACTIVE 'INTERBANK' FUNDING MARKET; HOWEVER, THERE WAS NO SUCH UNDERLYING MARKET, THE PLAINTIFF CLAIMS. PLAINTIFF HAS ASSERTED TWO CLAIMS: ONE FOR PRICE-FIXING UNDER THE SHERMAN ACT AND ONE FOR UNJUST ENRICHMENT, BOTH PURPORTEDLY ON BEHALF OF A CLASS OF ALL PERSONS OR ENTITIES RESIDING IN THE UNITED STATES THAT DIRECTLY TRANSACTED WITH A PANEL BANK DEFENDANT IN AN ICE LIBOR-LINKED FLOATING RATE DEBT INSTRUMENT OR SWAP DURING THE CLASS PERIOD. CITY OF LIVONIA HAS NOT ALLEGED ANY SPECIFIC TRADES WITH CREDIT SUISSE, AND THERE ARE NO CREDIT SUISSE-SPECIFIC ALLEGATIONS OTHER THAN ICE LIBOR SUBMISSION DATA AND RELATED STATISTICS. |

6

**Attachment 8:** `CSI_SBSEA_ScheduleB_13-15.pdf`

# **Section II: Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings**

(Check one) [ ] Item 13A [ ] Item 13B [ ] Item 14 [ ] Item 15

Applicant must complete a **separate Schedule B Page 1 for each affirmative response** in this section including any multiple responses to any item.

**Complete the “Effective Date” box with the Month, Day and Year that the arrangement or agreement became effective.**

When reporting a change or termination of an arrangement, enter the effective date of the change.

(Check one) [X] Item 13A [ ] Item 13B [ ] Item 14 [ ] Item 15

| 1 | Firm or Organization Name | PRICEWATERHOUSECOOPERS AG |
| --- | --- | --- |
|  | SEC File, CRD, NFA, IARD, UIC, foreign business No., and/or CIK Number (if any) |  |
|  | Business Address ( Street, City, State/Country, Zip + 4 Postal Code ) | BIRCHSTRASSE 160 ZURICH, SWITZERLAND, 8050 |
|  | Effective Date MM DD YYYY | 04/30/2020 |
|  | Termination Date MM DD YYYY | n/a |
|  | Individual Name | n/a |
|  | CRD, NFA, and/or IARD Number (if any) | n/a |
|  | Business Address (if applicable) ( Street, City, State/Country, Zip + 4 Postal Code ) | n/a |
|  | Effective Date MM DD YYYY | n/a |
|  | Termination Date MM DD YYYY | n/a |

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

**PRICEWATERHOUSECOOPERS AG IS APPOINTED AS AN AUDITOR FOR CREDIT SUISSE INTERNATIONAL.**

(Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15

| 2 | Firm or Organization Name | THE BANK OF NEW YORK MELLON |
| --- | --- | --- |
|  | SEC File, CRD, NFA, IARD, UIC, foreign business No., and/or CIK Number (if any) |  |
|  | Business Address ( Street, City, State/Country, Zip + 4 Postal Code ) | ONE WALL STREET, NEW YORK, NY/UNITED STATES, 10286 |
|  | Effective Date MM DD YYYY | 01/01/1900 |
|  | Termination Date MM DD YYYY |  |
|  | Individual Name |  |
|  | CRD, NFA, and/or IARD Number (if any) |  |
|  | Business Address (if applicable) ( Street, City, State/Country, Zip + 4 Postal Code ) |  |
|  | Effective Date MM DD YYYY |  |
|  | Termination Date MM DD YYYY |  |

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

**PAYMENTS; SETTLEMENTS AND CUSTODY**

(Check one) [ ] Item 13A [X] Item 13B [ ] Item 14 [ ] Item 15

| 3 | Firm or Organization Name | EUROCLEAR BANK S.A./N.V |
| --- | --- | --- |
|  | SEC File, CRD, NFA, IARD, UIC, foreign business No., and/or CIK Number (if any) |  |
|  | Business Address ( Street, City, State/Country, | 1 BOULEVARD DU ROI ALBERT II |

| Zip + 4 Postal Code) | BE, 1210 BRUXELLES |
| --- | --- |
| Effective Date MM DD YYYY | 01/01/1900 |
| Termination Date MM DD YYYY |  |
| Individual Name |  |
| CRD, NFA, and/or IARD Number (if any) |  |
| Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |
| Effective Date MM DD YYYY |  |
| Termination Date MM DD YYYY |  |

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

# **SETTLEMENTS AND CUSTODY**

| (Check one) | ☐ Item 13A ☑ Item 13B ☐ Item 14 ☐ Item 15 |  |
| --- | --- | --- |
| 4 | Firm or Organization Name | ICE CLEAR CREDIT, LLC |
|  | SEC File, CRD, NFA, IARD, UIC, foreign business No., and/or CIK Number (if any) |  |
|  | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 1 NORTH END AVENUE, NEW YORK, NY/UNITED STATES, 10282 |
|  | Effective Date MM DD YYYY | 01/01/1900 |
|  | Termination Date MM DD YYYY |  |
|  | Individual Name |  |
|  | CRD, NFA, and/or IARD Number (if any) |  |
|  | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) |  |
|  | Effective Date MM DD YYYY |  |
|  | Termination Date MM DD YYYY |  |

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

# **CLEARING**

| (Check one) | ☐ Item 13A ☐ Item 13B ☑ Item 14 ☐ Item 15 |  |
| --- | --- | --- |
| 1 | Firm or Organization Name | CREDIT SUISSE AG |
|  | SEC File, CRD, NFA, IARD, UIC, foreign business No., and/or CIK Number (if any) | NFA Id: 0453466 CIK: 0000824468 UIC/LEI: ANGGYXNX0JLX3X63JN86 |
|  | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | PARADEPLATZ 8, ZURICH, SWITZERLAND, 8001 |
|  | Effective Date MM DD YYYY | 05/09/1989 |
|  | Termination Date MM DD YYYY | n/a |
|  | Individual Name | n/a |
|  | CRD, NFA, and/or IARD Number (if any) | n/a |
|  | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | n/a |
|  | Effective Date MM DD YYYY | n/a |
|  | Termination Date MM DD YYYY | n/a |

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary

CREDIT SUISSE INTERNATIONAL IS 100% OWNED AND CONTROLLED BY CREDIT SUISSE AG, AND ITS ULTIMATE PARENT IS CREDIT SUISSE GROUP AG.

| (Check one) | ☐ Item 13A ☐ Item 13B ☑ Item 14 ☐ Item 15 |
| --- | --- |

2

| 2 | Firm or Organization Name | CREDIT SUISSE GROUP AG |
| --- | --- | --- |
|  | SEC File, CRD, NFA, IARD, UIC, foreign business No., and/or CIK Number (if any) | NFA Id #: 0456539 CIK#: 0001159510 UIC/LEI: 549300506SI9CRFV9Z86 |
|  | Business Address ( Street, City, State/Country, Zip + 4 Postal Code ) | PARADEPLATZ 8, ZURICH, SWITZERLAND, 8001 |
|  | Effective Date MM DD YYYY | 05/09/1989 |
|  | Termination Date MM DD YYYY | n/a |
|  | Individual Name | n/a |
|  | CRD, NFA, and/or IARD Number (if any) | n/a |
|  | Business Address (if applicable) ( Street, City, State/Country, Zip + 4 Postal Code ) | n/a |
|  | Effective Date MM DD YYYY | n/a |
|  | Termination Date MM DD YYYY | n/a |

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary

CREDIT SUISSE INTERNATIONAL IS 100% OWNED AND CONTROLLED BY CREDIT SUISSE AG, AND ITS ULTIMATE PARENT IS CREDIT SUISSE GROUP AG.

| (Check one) | ☐ Item 13A ☐ Item 13B ☐ Item 14 ☑ Item 15 |  |
| --- | --- | --- |
| 1 | Firm or Organization Name | CREDIT SUISSE AG |
|  | SEC File, CRD, NFA, IARD, UIC, foreign business No., and/or CIK Number (if any) | NFA Id: 0453466 CIK: 0000824468 UIC/LEI: ANGGYXNX0JLX3X63JN86 |
|  | Business Address ( Street, City, State/Country, Zip + 4 Postal Code ) | PARADEPLATZ 8, ZURICH, SWITZERLAND, 8001 |
|  | Effective Date MM DD YYYY | 05/09/1989 |
|  | Termination Date MM DD YYYY |  |
|  | Individual Name |  |
|  | CRD, NFA, and/or IARD Number (if any) |  |
|  | Business Address (if applicable) ( Street, City, State/Country, Zip + 4 Postal Code ) |  |
|  | Effective Date MM DD YYYY |  |
|  | Termination Date MM DD YYYY |  |

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary

CREDIT SUISSE INTERNATIONAL IS 100% OWNED AND CONTROLLED BY CREDIT SUISSE AG, AND ITS ULTIMATE PARENT IS CREDIT SUISSE GROUP AG.

| (Check one) | ☐ Item 13A ☐ Item 13B ☐ Item 14 ☑ Item 15 |  |
| --- | --- | --- |
| 9 | Firm or Organization Name | CREDIT SUISSE GROUP AG |
|  | SEC File, CRD, NFA, IARD, UIC, foreign business No., and/or CIK Number (if any) | NFA Id #: 0456539 CIK#: 0001159510 UIC/LEI: 549300506SI9CRFV9Z86 |
|  | Business Address ( Street, City, State/Country, Zip + 4 Postal Code ) | PARADEPLATZ 8, ZURICH, SWITZERLAND, 8001 |
|  | Effective Date MM DD YYYY | 05/09/1989 |
|  | Termination Date MM DD YYYY | n/a |
|  | Individual Name | n/a |
|  | CRD, NFA, and/or IARD Number (if any) | n/a |
|  | Business Address (if applicable) ( Street, City, State/Country, Zip + 4 Postal Code ) | n/a |
|  | Effective Date MM DD YYYY | n/a |
|  | Termination Date MM DD YYYY | n/a |

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control

3

or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary

CREDIT SUISSE INTERNATIONAL IS 100% OWNED AND CONTROLLED BY CREDIT SUISSE AG, AND ITS ULTIMATE PARENT IS CREDIT SUISSE GROUP AG.

4

**Attachment 9:** `CSI-SBSEA-CriminalDRP.pdf`

# **1. CRIMINAL DISCLOSURE REPORTING PAGE (SBSE-A) to Items A and B**
**1.1. CRIMINAL DISCLOSURE REPORTING PAGE (SBSE-A) to Items A**

| GENERAL INSTRUCTIONS |  |  |
| --- | --- | --- |
| This Disclosure Reporting Page [DRP (SBSE)] is an [✓] INITIAL OR [ ] AMENDED response to report details for affirmative responses to Items A and B of Schedule D of Form SBSE-A; Check [✓] item(s) being responded to: A. In the past ten years has the principal: [✓] (1) Been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign or military court to any felony? [✓] (2) Been charged with a felony? B. In the past ten years has the principal: [ ] (1) Been convicted of or pled guilty or or nolo contendere ("no contest") in a domestic, foreign or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses? [ ] (2) Been charged with a misdemeanor specified in B(1)? |  |  |
| Use a separate DRP for each event or proceeding . An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. Multiple counts of the same charge arising out of the same event(s) should be reported on the same DRP. Unrelated criminal actions, including separate cases arising out of the same event, must be reported on separate DRPs. Use this DRP to report all charges arising out of the same event. One event may result in more than one affirmative answer to the above items. If a principal is an organization registered through the CRD, such principal need only complete Part I of the applicant's appropriate DRP (SBSE-A). Details of the event must be submitted on the principal's appropriate DRP (BD) or DRP (U-4). If a principal is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE-A). The completion of this DRP does not relieve the principal of its obligation to update its CRD records. Applicants must attach a copy of each applicable court document (i.e., criminal complaint, information or indictment as well as judgment of conviction or sentencing documents) if not previously submitted through CRD (as they could be in the case of a control affiliate registered through CRD). Documents will not be accepted as disclosure in lieu of answering the questions on this DRP. |  |  |
| PART I |  |  |
| A | If the principal is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox. |  |
|  | Name of Principal : CREDIT SUISSE AG |  |
|  | CRD NUMBER: |  |
|  | Registered: | [ ] Yes [X] No |
|  | [ ] This DRP should be removed from the SBS Entity's record because the principal is no longer associated with the SBS Entity. |  |
| B | If the principal is registered through the CRD, has the principal submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II. | [ ] Yes [X] No |
|  | Note: The completion of this Form does not relieve the principal of its obligation to update its CRD records. |  |
| PART II |  |  |
| 1 | If charge(s) were brought against an organization over which the principal exercise(d) control: Enter organization name, whether or not the organization was an investment-related business and the principal's position, title or relationship. | CREDIT SUISSE AG |

| 2 | Formal Charge(s) were brought in: (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case number). |  | UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF VIRGINIA, ALEXANDRIA DIVISION, CRIMINAL NO. 1:14-CR-188 |  |
| --- | --- | --- | --- | --- |
| 3 | Event Disclosure Detail (Use this for both organizational and individual charges. |  |  |  |
|  | A | Date First Charged (MM/DD/YYYY): 05/19/2014 |  | ☑ Exact ☐ Explanation |
|  |  | If not exact, provide explanation: |  |  |
|  | B | Event Disclosure Detail (include Charge(s)/Charge Description(s), and for each charge provide: 1 , number of counts, 2 , felony or misdemeanor, 3 , plea for each charge, and 4 , product type if charge is investment-related): A SINGLE FELONY COUNT OF CONSPIRACY TO COMMIT OFFENSES AGAINST THE UNITED STATES, TO WIT, VIOLATIONS OF TITLE 26, UNITED STATES CODE, SECTION 7206(2), THE AIDING, ASSISTING, PROCURING, COUNSELING, AND ADVISING OF THE PREPARATION AND PRESENTATION OF FALSE INCOME TAX RETURNS TO THE INTERNAL REVENUE SERVICE OF THE TREASURY DEPARTMENT, IN VIOLATION OF TITLE 18, UNITED STATES CODE, SECTION 371. |  |  |
|  | C | Current status of the Event? | ☐ Pending | ☐ On Appeal ☑ Final |
|  | D | Event Status Date (complete unless status is Pending) (MM/DD/YYYY): 05/19/2014 |  | ☑ Exact ☐ Explanation |
|  |  | If not exact, provide explanation: |  |  |
| 4 | Disposition Disclosure Detail: Include for each charge, A . Disposition Type [e.g., convicted, acquitted, dismissed, pretrial.], B . Date, C . Sentence/Penalty, D . Duration [if sentence-suspension, probation, etc.], E . Start Date of Penalty, F . Penalty/Fine Amount and G . Date Paid. GUILTY PLEA, ENTERED 05/19/2014. CREDIT SUISSE AG ("CSAG") AGREED TO A $2,000,000,000 RESOLUTION, THAT CONSISTED OF A CRIMINAL FINE IN THE AMOUNT OF $1,333,500,000, LESS A CREDIT OF $196,511,014 FOR CSAG'S PAYMENT TO THE U.S. SECURITIES AND EXCHANGE COMMISSION PURSUANT TO ITS ORDER OF FEBRUARY 21, 2014 IN ADMINISTRATIVE PROCEEDING FILE NO. 3-15763, TO BE PAID WITHIN ONE WEEK OF THE DATE OF SENTENCING; A MANDATORY SPECIAL ASSESSMENT OF $400; AND RESTITUTION TO THE U.S. INTERNAL REVENUE SERVICE IN THE AMOUNT OF $666,500,000, TO BE PAID WITHIN ONE WEEK OF SENTENCING. SENTENCING DATE SET FOR AUGUST 12, 2014. |  |  |  |
| 5 | Provide a brief summary of the circumstances leading to the charge(s) as well as the disposition. Include the relevant dates when the conduct which was the subject of the charge(s) occurred. (The information must fit within the space provided.) FOR A SIGNIFICANT PERIOD OF TIME LEADING UP TO AND THROUGH APPROXIMATELY 2009, CSAG DID UNLAWFULLY AID, ASSIST IN, PROCURE, COUNSEL, AND ADVISE THE PREPARATION AND PRESENTATION OF FALSE INCOME TAX RETURNS AND OTHER DOCUMENTS TO THE INTERNAL REVENUE SERVICE OF THE TREASURY DEPARTMENT ("IRS"). IN THE SAME TIME |  |  |  |

2

PERIOD, CSAG OPERATED AN ILLEGAL CROSS-BORDER BANKING BUSINESS THAT KNOWINGLY AND WILLFULLY AIDED AND ASSISTED U.S. CLIENTS IN OPENING AND MAINTAINING UNDECLARED ACCOUNTS AND CONCEALING OFFSHORE ASSETS AND INCOME FROM THE IRS. IN 2010, THE TAX DIVISION OF THE U.S. DEPARTMENT OF JUSTICE INFORMED CSAG THAT THE DEPARTMENT OF JUSTICE HAD BEGUN A CRIMINAL INVESTIGATION AND THE INVESTIGATION HAD UNCOVERED EVIDENCE OF TAX LAW VIOLATIONS BY CERTAIN CSAG EMPLOYEES. IN RESPONSE, IN 2011, CSAG BEGAN AN INTERNAL INVESTIGATION. ON MAY 19, 2014, CSAG AND THE DEPARTMENT OF JUSTICE ENTERED INTO AN AGREEMENT PURSUANT TO RULE 11 OF THE FEDERAL RULES OF CRIMINAL PROCEDURE, WHEREBY CSAG AGREED TO PLEAD GUILTY TO ONE FELONY COUNT OF AIDING, ASSISTING, PROCURING, COUNSELING, AND ADVISING OF THE PREPARATION AND PRESENTATION OF FALSE INCOME TAX RETURNS TO THE IRS. NONE OF THE ALLEGED CONDUCT IS ATTRIBUTABLE TO THE REGISTRANT OR ANY CSAG AFFILIATE THAT IS REGISTERED WITH THE COMMISSION AS AN INVESTMENT ADVISER OR BROKER-DEALER.

3

**Attachment 10:** `CSI-Opin-NonresidentSBSD.pdf`

# 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 27, 2021

To:

Credit Suisse International
One Cabot Square,
London E14 4QJ
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 Credit Suisse International (the “Firm”), a credit institution 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 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.

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.

On the basis that the Firm has a “prudential regulator” within the meaning of Section 3(a)(74) of the Securities Exchange Act of 1934 (15 U.S.C. § 78c(a)(74)), this opinion letter does not cover financial records necessary to assess compliance by the Firm with SEC capital and margin requirements.

“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

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

(d) the SEC order granting conditional substituted compliance in connection with certain requirements applicable to non-U.S. security-based swap dealers and major 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 Firm has a “prudential regulator” within the meaning of Section 3(a)(74) of the Securities Exchange Act of 1934 (15 U.S.C. § 78c(a)(74));

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

(c) 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;

(d) 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;

(e) 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;

(f) 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

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

with Data Protection Laws and employment law requirements relating to the processing of personal data of employees;

(g) 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 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;

(h) 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;$^{7}$

(i) 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;

(j) 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;

$^{6}$ 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

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

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

(m) 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

(n) 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.

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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 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

8 ICO Letter, page 3.

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

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.

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 (h) 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.

$^{11}$ 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.

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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.

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.

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

# 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 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.

$^{21}$ 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

# 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 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.

$^{24}$ *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

# 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, 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

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

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

11

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 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

$^{35}$ 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

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 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

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**Attachment 11:** `summaryofchanges02272023.pdf`

February 27, 2023- Summary of changes

Updated the listing of Principals to reflect an additional principal, a new CCO and mirror Form 7R.

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

### Applicant Information

**Full Applicant Name:** CREDIT SUISSE INTERNATIONAL

**NFA Number:** 443823

**IRS Employer ID No.:** 13-3620321

**CIK:** 0001343079

**UIC:** E58DKGMJYYYJLN8C3868

**Main Address:** ONE CABOT SQUARE, LONDON, X0, E14 4QJ

**Business Telephone:** 44 207888 1600

**Contact Employee:**

- **Name:** DREW SHOEMAKER

- **Title:** GLOBAL HEAD OF REGULATORY SERVICES

- **Phone:** 1 919-994-1161

- **Email:** drew.shoemaker@credit-suisse.com

**Chief Compliance Officer:**

- **Name:** Mark Jeremy Taylor

- **Title:** CHIEF COMPLIANCE OFFICER

- **Phone:** 44 2078881700

- **Email:** mark.j.taylor@credit-suisse.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** No

**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 DESCRIPTION COVERS INVESTMENT BANK WHICH PROVIDES A BROAD RANGE OF FINANCIAL PRODUCTS AND SERVICES FOCUSED ON CLIENT DRIVEN BUSINESSES. PRODUCTS AND SERVICES INCLUDE GLOBAL SECURITIES SALES, TRADING AND EXECUTION, CAPITAL RAISING, AND ADVISORY.

### 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:** 14

### Schedule A: Principals

| Name                    | Title or Status          | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| JOHN DEVINE             | DIRECTOR                 | 11/2018         | 11/2017              |  |       510400 |
| DORIS HONOLD            | DIRECTOR                 | 04/2021         | 08/2020              |  |       536320 |
| CHRISTOPHER HORNE       | DIRECTOR                 | 05/2015         | 12/2001              |  |       485770 |
| DAVID RICHARD MATHERS   | CHIEF EXECUTIVE OFFICER  | 06/2016         | 08/2005              |  |       496948 |
| Mark Jeremy Taylor      | CHIEF COMPLIANCE OFFICER | 01/2023         | 10/2018              |  |       536034 |
| CAROLINE WADDINGTON     | CHIEF FINANCIAL OFFICER  | 06/2017         | 10/2016              |  |       504144 |
| Hippolyte Georges Agkpo | Head of a Business Unit  | 08/2022         | 12/2018              |  |       350712 |
| Edward James Jenkins    | Head of a Business Unit  | 09/2022         | 02/2022              |  |       549841 |
| David Roger Jones       | Head of a Business Unit  | 08/2022         | 07/2010              |  |       549838 |
| Richard Henry Meddings  | Director                 | 09/2022         | 04/2020              |  |       454834 |
| Shane P Ocuinn          | Head of a Business Unit  | 08/2022         | 05/1998              |  |       483448 |
| Kwook Kit Kenneth Pang  | Head of a Business Unit  | 09/2022         | 08/2020              |  |       549885 |
| Jane Davies Debra       | Director                 | 09/2022         | 05/2019              | NA - less than 5% |       550108 |
| David Todd              | Board Member             | 12/2022         | 02/2022              |  |       554131 |

### Schedule B: Explanations

**Description:**
CSI'S BUSINESS FOCUSES ON TRANSACTIONS THAT ADDRESS THE BROAD FINANCING, RISK MANAGEMENT, AND INVESTMENT REQUIREMENTS OF ITS WORLDWIDE CLIENT BASE. CSI PROVIDES PRIVATE BANKING SOLUTIONS, AND A WIDE SPECTRUM OF BANK PRODUCTS SUCH AS TRADITIONAL AND STRUCTURED LENDING, PAYMENT SERVICES, FOREIGN EXCHANGE, COMMODITIES, DERIVATIVES AND CAPITAL GOODS LEASING.

**Records Keeper:**

- **Name:** PRICEWATERHOUSECOOPERS AG

  - **Address:** BIRCHSTRASSE 160, ZURICH, V8, 8050

  - **Effective Date:** 04-30-2020

  - **Arrangement:** —

**Onbehalf:**

- **Name:** THE BANK OF NEW YORK MELLON

  - **Address:** ONE WALL STREET, NEW YORK, NY, 10286

  - **Effective Date:** 01-01-1900

  - **Arrangement:** —

- **Name:** EUROCLEAR BANK S.A./N.V.

  - **Address:** 1 BOULEVARD DU ROI ALBERT II, BRUXELLES, C9, 1210

  - **Effective Date:** 01-01-1900

  - **Arrangement:** —

- **Name:** ICE CLEAR CREDIT, LLC

  - **Address:** 1 NORTH END AVENUE, NEW YORK, NY, 10282

  - **Effective Date:** 01-01-1900

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** CREDIT SUISSE AG

  - **Address:** PARADEPLATZ 8, ZURICH, V8, 8001

  - **Effective Date:** 05-09-1989

  - **Arrangement:** —

- **Name:** CREDIT SUISSE GROUP AG

  - **Address:** PAREDEPLATZ 8, ZURICH, V8, 8001

  - **Effective Date:** 05-09-1989

  - **Arrangement:** —

### Execution

**Date:** 02-27-2023

**Name of Applicant:** CREDIT SUISSE INTERNATIONAL

**Signature:** Garrett O'Reilly

**Printed Name:** Garrett O'Reilly

**Title:** Managing Director, Compliance