# EDGAR Filing Document

**Accession Number:** 0001888657
**File Stem:** 0001888657-26-000001
**Filing Date:** 2026-2
**Character Count:** 10407
**Document Hash:** 242d6a6a73cbec46f521111da09eee6f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001888657-26-000001.hdr.sgml**: 20260212

**ACCESSION NUMBER**: 0001888657-26-000001

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

**PUBLIC DOCUMENT COUNT**: 7

**FILED AS OF DATE**: 20260204

**DATE AS OF CHANGE**: 20260212

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** DEUTSCHE BANK AG SBSD
- **CENTRAL INDEX KEY:** 0001888657

**ORGANIZATION NAME:**
- **EIN:** 132944988
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00131
- **FILM NUMBER:** 26624925

**BUSINESS ADDRESS:**
- **STREET 1:** TAUNUSANLAGE 12
- **CITY:** FRANKFURT
- **STATE:** 2M
- **ZIP:** 60325
- **BUSINESS PHONE:** 212-250-2500

**MAIL ADDRESS:**
- **STREET 1:** 1 COLUMBUS CIRCLE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019-8201

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Deutsche Bank AG SBSD
- **DATE OF NAME CHANGE:** 20211018

### Attached PDF Documents

**Attachment 1:** `dbagform7r.pdf`

_No text found in this document._

**Attachment 2:** `Germany_Legal_Opinion.pdf`

_No text found in this document._

**Attachment 3:** `Item_3C_Attachment.pdf`

_No text found in this document._

**Attachment 4:** `Singapore_Legal_Opinion.pdf`

_No text found in this document._

**Attachment 5:** `summaryofchanges_3.pdf`

_No text found in this document._

**Attachment 6:** `UK_Legal_Opinion.pdf`

_No text found in this document._

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

### Applicant Information

**Full Applicant Name:** DEUTSCHE BANK AG SBSD

**NFA Number:** 210678

**IRS Employer ID No.:** 13-2944988

**CIK:** 0001888657

**Main Address:** TAUNUSANLAGE 12, FRANKFURT, 2M, 60325

**Mailing Address:** 1 COLUMBUS CIRCLE, NEW YORK, NY, 10019-8201

**Business Telephone:** 212-250-2500

**Contact Employee:**

- **Name:** Tatsiana Forker

- **Title:** Head of Swap Dealer and SBSD Compliance

- **Phone:** 212-250-3308

- **Email:** tatsiana.forker@db.com

**Chief Compliance Officer:**

- **Name:** Mark Thomas Goulden

- **Title:** Chief Compliance Officer (DBAG Swap Dealer and SBS Dealer)

- **Phone:** 44(20)754-10596

- **Email:** mark.goulden@db.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

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

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board

**Description of Business:**
Deutsche Bank Aktiengesellschaft (DBAG) is a stock corporation organized under the laws of Germany registered in the Commercial Register of the District Court in Frankfurt am Main under registration number HRB 30 000. DBAG comprises the following four core operating divisions: Corporate Bank, Investment Bank, Private Bank, and Asset Management (DWS). The Investment Bank includes the firm's Origination and Advisory business, as well as its Fixed Income and Currencies (FIC) business, in which the majority of the firm's security based swap dealing activity resides.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** Yes

**Is control exercised through an agreement?:** No

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

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

**Subject to foreign regulation?:** Yes

**Number of Principals:** 12

### Schedule A: Principals

| Name                           | Title or Status                                              | Date Acquired   | Date Began Working   | Ownership         | NFA ID No.   |
|:---|:---|:---|:---|:---|:---|
| Bernd Gunter Leukert           | Chief Technology, Data and Innovation Officer                | 01/2020         | 09/2019              | NA - less than 5% | 542962       |
| Christian Sewing               | Chief Executive Officer                                      | 04/2018         | 12/1991              | NA - less than 5% | 486225       |
| Gerd Alexander von zur Muehlen | Chief Executive Officer, Asia Pacific                        | 08/2020         | 09/1995              | NA - less than 5% | 533422       |
| James Adam Mark von Moltke     | Chief Financial Officer                                      | 07/2017         | 07/2017              | NA - less than 5% | 506739       |
| Ramachandra Nayak              | Head of Fixed Income & Currencies                            | 07/2019         | 09/2009              | NA - less than 5% | 275157       |
| Rebecca Anne Short             | Chief Transformation Officer                                 | 05/2021         | 02/1998              | NA - less than 5% | 541645       |
| Fabrizio Campelli              | HEAD OF THE CORPORATE BANK AND INVESTMENT BANK, MEMBER OF TH | 05/2021         | 08/2009              | NA - less than 5% | 541581       |
| Claudio De Sanctis             | Head of International Private Bank, Member of Mgmt Board     | 07/2023         | 12/2018              | NA - less than 5% | 557663       |
| Mark Thomas Goulden            | Chief Compliance Officer                                     | 05/2024         | 11/2015              | NA - less than 5% | 469309       |
| Laura Marcela Padovani         | Chief Compliance & AFC Officer, Member of the Mgmt Board     | 07/2024         | 04/2023              | NA - less than 5% |  |
| Marcus Johannes Chromik        | Chief Risk Officer, Member of the Mgmt Board                 | 05/2025         | 03/2025              | NA - less than 5% | 497291       |
| Raja Jawad Akram               | Designated Chief Financial Officer, Member of the Mgmt Board | 01/2026         | 10/2025              |  |  |

### Schedule B: Explanations

**Description:**
DBAG conducts Foreign Exchange spot dealing activities through both its Investment Bank and Corporate Bank. DBAG is a CFTC-registered swap dealer. DBAG also conducts certain financial services industry-related, non-securities business through its Corporate Bank division, which includes Cash Management, Trade Finance and Lending services, as well as Trust and Agency services. Through its subsidiaries, DBAG provides certain lending and deposit activities through its Private Bank division.

**Records Keeper:**

- **Name:** Ernst & Young GmbH Wirtschaftsprufungsgesellschaft

  - **Address:** Mergenthalerallee 3-5, Eschborn/Frankfurt (Main), 2M, 65760

  - **Effective Date:** 04-26-2021

  - **Arrangement:** Third-party audit firm

**Onbehalf:**

- **Name:** ICE Clear Credit LLC

  - **Address:** 1 North End Avenue, New York, NY, 10282-1163

  - **Effective Date:** 12-07-2013

  - **Arrangement:** Clearing house for DBAG SBS trades

- **Name:** ICE Clear Europe Limited

  - **Address:** Milton Gate, 60 Chiswell Street, London, X0, EC1Y 4SA

  - **Effective Date:** 12-06-2013

  - **Arrangement:** Clearing house for DBAG SBS trades

- **Name:** Japan Securities Clearing Corporation

  - **Address:** 2-1 Nihombashi-Kabuto-Cho, Chuo Ku, Tokyo, M0, 103-0026

  - **Effective Date:** 11-08-2014

  - **Arrangement:** Clearing house for DBAG SBS trades

- **Name:** LCH Clearnet SA (or BANQUE CENTRALE DE COMPENSATION)

  - **Address:** 18 Rue Du 4 Septembre, Paris, I0, 75002

  - **Effective Date:** 05-17-2014

  - **Arrangement:** Clearing house for DBAG SBS trades

- **Name:** BGC Brokers LP, London

  - **Address:** 5 Churchill Place, Canary Wharf, London, X0, E14 5RD

  - **Effective Date:** 10-12-2013

  - **Arrangement:** Broker acts as a market intermediary facilitating the trading of security based swap trades between DB and other broker dealers on a name passing basis

- **Name:** BGC CAPITAL MARKETS (HONGKONG) LIMITED, HONGKONG

  - **Address:** Suites 6402-6408 64th Floor, Two Intl Finance Centre No 8 Finance Str, Hong Kong, K3, CentralWst

  - **Effective Date:** 10-23-2017

  - **Arrangement:** Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis

- **Name:** BGC Securities (Hong Kong) Wilmington

  - **Address:** Two International Finance Centre Suites, 8 Finance Street Central District, Hong Kong, K3, CentralWst

  - **Effective Date:** 03-13-2015

  - **Arrangement:** Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis

- **Name:** GFI BROKERS LTD

  - **Address:** 1 Snowden Street, London, X0, EC2A 2DQ

  - **Effective Date:** 12-07-2013

  - **Arrangement:** Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis

- **Name:** T.F.S. DERIVATIVES HK LIMITED

  - **Address:** Level 24-25 Entertainment Building, 30 Queens Road Central, Hong Kong, K3, CentralWst

  - **Effective Date:** 12-06-2013

  - **Arrangement:** Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis

- **Name:** TRADITION (UK) LIMITED LONDON

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

  - **Effective Date:** 01-23-2014

  - **Arrangement:** Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis

- **Name:** TULLETT PREBON (HONG KONG) LIMITED

  - **Address:** Suite 1001 10th Floor, Citic Tower 1 Tim Mei Avenue Central, Hong Kong, K3, CentralWst

  - **Effective Date:** 12-15-2012

  - **Arrangement:** Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis

- **Name:** TULLETT PREBON AMERICAS CORP

  - **Address:** 101 Hudson Street, Jersey City, NJ, 07302-3908

  - **Effective Date:** 02-12-2014

  - **Arrangement:** Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis

### Execution

**Date:** 02-04-2026

**Name of Applicant:** DEUTSCHE BANK AG SBSD

**Signature:** Tatsiana Forker

**Printed Name:** Tatsiana Forker

**Title:** Vice President, Head of Swap Dealer and SBSD Compliance