# EDGAR Filing Document

**Accession Number:** 0001257135
**File Stem:** 0000922116-23-000006
**Filing Date:** 2023-3
**Character Count:** 236927
**Document Hash:** 735f9dd265e655d326fae37327598af6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000922116-23-000006.hdr.sgml**: 20230323

**ACCESSION NUMBER**: 0000922116-23-000006

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

**PUBLIC DOCUMENT COUNT**: 11

**FILED AS OF DATE**: 20230317

**DATE AS OF CHANGE**: 20230323

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MACQUARIE BANK LTD
- **CENTRAL INDEX KEY:** 0001257135
- **IRS NUMBER:** 980163788

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00198
- **FILM NUMBER:** 23754670

**BUSINESS ADDRESS:**
- **STREET 1:** LEVEL 6, 50 MARTIN PLACE
- **CITY:** SYDNEY, NEW SOUTH WALES
- **STATE:** C3
- **ZIP:** 2000
- **BUSINESS PHONE:** 212-231-1000

**MAIL ADDRESS:**
- **STREET 1:** LEVEL 6, 50 MARTIN PLACE
- **CITY:** SYDNEY, NEW SOUTH WALES
- **STATE:** C3
- **ZIP:** 2000

### Attached PDF Documents

**Attachment 1:** `ScheduleB13Aadditional.pdf`

# **Schedule B of FORM SBSE-A**  
 **Section II - Item 13A**

| Schedule B | Item 13A Record: 1 | Data Point | Answer |
| --- | --- | --- | --- |
|  | II.13A i | Firm or Organization Name | Microsoft Corporation |
|  | II.13A i | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13A i | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | One Microsoft Way, Redmond, WA 98052-6399 |
|  | II.13A i | Effective Date | 4/1/2021 |
|  | II.13A i | Termination Date | 3/30/2024 |
|  | II.13A i | Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A) | Cloud and server environment |
| Schedule B | Item 13A Record: 2 | Data Point | Answer |
|  | II.13A ii | Firm or Organization Name | PageUp People Limited |
|  | II.13A ii | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13A ii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Level 10, 91 William St., Melbourne VIC 3000 |
|  | II.13A ii | Effective Date | 1/1/2021 |
|  | II.13A ii | Termination Date | n/a |
|  | II.13A ii | Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A) | Storage of Employment Applications |

**Attachment 2:** `ScheduleB15Additional.pdf`

# **Schedule B of FORM SBSE-A**  
 **Section II - Item 15**

| Schedule B | Item 15 Record: 1 Additional Response | Data Point | Answer |
| --- | --- | --- | --- |
|  | II.15 i | Firm or Organization Name | Macquarie Group Limited |
|  | II.15 i | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.15 i | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.15 i | Effective Date | 11/13/2007 |
|  | II.15 i | Termination Date | n/a |
|  | II.15 i | Briefly describe the method and amount of financing (ITEM 15) | Investment in Macquarie Group Limited shares. |

Macquarie Bank Limited ('MBL') has access to additional funding through customer deposits, wholesale issued paper, and other equity, debt and hybrid funding sources. MBL also accesses the Australian capital markets through the issuance of Negotiable Certificates of Deposit and, as an authorized deposit-taking institution, has access to liquidity from the Reserve Bank of Australia's daily market operations.

**Attachment 3:** `mbllegalopinion.pdf`

KING & WOOD
MALLESONS
金杜律师事务所

Level 61
Governor Phillip Tower
1 Farrer Place
Sydney NSW 2000
Australia

T +61 2 9296 2000
F +61 2 9296 3999

www.kwm.com

13 December 2021

To Macquarie Bank Limited
50 Martin Place
Sydney NSW 2000
Australia

# Application to the United States Securities and Exchange Commission for Security-Based Swap Dealer Registration by Macquarie Bank Limited

# 1 Introduction

Macquarie Bank Limited (MBL), a company incorporated under the Corporations Act 2001 of the Commonwealth of Australia, is applying to the Securities and Exchange Commission of the United States (Commission) for registration as a security-based swap dealer (SBSD) under section 15F of the Securities Exchange Act of 1934 (the Exchange Act). The application requires the opinion of counsel described in Rule 15Fb2-4(c)(1)(ii).

# 2 Opinion

In our opinion MBL can, as a matter of Australian law:

(a) provide the Commission with prompt access to its books and records within the Commonwealth of Australia and which relate to its "U.S. business" (as defined in Exchange Act Rule 3a71-3(a)(8)) as carried on from the date on which MBL submits its application for registration as a non-resident SBSD ("covered books and records"); and
(b) submit to onsite inspection and examination by the Commission of its covered books and records.

The discussion in paragraph 3 below concerns the manner in which MBL may engage in the conduct described in paragraph 2(a) and (b) above consistently with its obligations under the Australian Privacy Act 1988 (Cth) (Privacy Act).1 We are not aware of any other Australian law that applies to MBL that impacts MBL's ability to provide, or the manner in which it provides the Commission with, access to its covered books and records, or impacts the Commission's ability to inspect and examine MBL's covered books and records onsite.

# 3 Privacy Act analysis

# 3.1 Constraints on disclosure of personal information

The Privacy Act constrains MBL's entitlement to lawfully "disclose" "personal information",2 whether that personal information is contained in the covered books and records or would be disclosed to the Commission in connection with an onsite inspection or examination of MBL's covered books and

1 The authorised version of the Privacy Act is available online https://www.legislation.gov.au/Details/C2021C0045

2 "Personal information" is defined in s6 of the Privacy Act as "information or an opinion about an identified individual, or an individual who is reasonably identifiable: (a) whether the information or opinion is true or not; and (b) whether the information or opinion is recorded in a material form or not".

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records.3 For the reasons described below, in our opinion MBL may lawfully engage in the conduct described in Paragraph 2 above notwithstanding the Privacy Act.

### 3.2 Methods of Compliance with the Privacy Act

In order to provide some analysis for the opinion rendered in section 3.1, we set out here a number of possible mechanisms available to MBL to provide access to “personal information” to the Commission while remaining in compliance with the Privacy Act.

# (I) Offshore disclosure method:

In our opinion:

- (a) MBL may send any personal information to one of MBL’s offices in the United States without contravening any constraint in the Privacy Act; and
- (b) MBL’s conduct in the United States in order to comply with a requirement of a foreign law, including a requirement under the Exchange Act and the Commission’s rules thereunder to promptly provide information to the Commission, does not breach its obligations under the Privacy Act.4

Accordingly, when MBL complies with a requirement under the Exchange Act and the Commission’s rules thereunder to promptly provide information to the Commission and to permit the Commission to engage in onsite inspection and examination, MBL may do so consistently with its obligations under the Privacy Act:

- (c) by sending the original or a copy of covered books and records that contain personal information to one of its offices in the United States, and making the personal information contained in those covered books and records promptly available to the Commission in the United States; and
- (d) to the extent that personal information is to be disclosed to the Commission in connection with an onsite inspection or examination in Australia by the Commission of MBL’s covered books and records, by adopting the same approach as in paragraph 3.2(c) above, after which a representative of MBL located in Australia may provide the personal information to a representative of the Commission who is onsite in Australia.5

# (II) Other mechanisms.

For the reasons explained above, the offshore disclosure method may be relied on by MBL in all cases involving the disclosure of personal information to the Commission and onsite inspection

3 The constraints are set out in Australian Privacy Principles (APP) 6 and 8. APP 6 prohibits MBL from “disclos[ing]” personal information about an individual in certain circumstances, subject to enumerated exceptions. APP 8 regulates disclosures of personal information to persons outside Australia, but no obligation is imposed when the entity that exports the personal information is the same entity that receives it.

4 Privacy Act s.6A(4) provides that “An act or practice does not breach an Australian Privacy Principle if: (a) the act is done, or the practice is engaged in, outside Australia and the external Territories; and (b) the act or practice is required by an applicable law of a foreign country.”

5 In our opinion, the act in Australia of providing personal information to an onsite representative of the Commission would not contravene the Privacy Act, because, in our opinion, it does not involve a “disclosure”, as the personal information would already have been provided to the Commission outside Australia: see Nasr v State of NSW [2007] NSWCA 101 at [127] and [132] (“The essence of disclosure of information is making known to a person information that the person to whom the disclosure is made did not previously know”).

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and examination when MBL engages in the conduct described in each of paragraphs 2(a) and (b).

However, there are other grounds on which MBL may also rely in certain circumstances to disclose personal information to the Commission consistently with its obligations under the Privacy Act whilst engaging in the conduct described in each of paragraphs 2(a) and (b) above. For example:

(a) there would be no constraint on disclosure of personal information to the Commission or onsite inspection and examination if that information has been collected for the primary purpose of complying with the Exchange Act and facilitating an audit of compliance by the Commission (the **Primary Purpose Method**6; and

(b) even if the Primary Purpose Method is not available, the Privacy Act permits disclosures of personal information to the Commission when the individual would reasonably expect MBL to disclose the information to the Commission, and that disclosure is for a purpose that is related (or, in the case of sensitive information7, directly related) to the purpose for which the information was collected by MBL.8

#### 4. Basis of opinion

We have made such enquiries of MBL as we consider necessary for the purposes of giving this opinion and have relied on MBL's instructions as to relevant factual matters, including, without limitation that all books and records accessible from the United States and Australia are kept in accordance with Commission rules.

This opinion:

- is given on the basis of the law in force in Australia as at 13 December 2021, and we express no opinion as to any potential future changes in the law or its application as it relates to MBL that would impact MBL's ability to provide, or the manner in which it provides the Commission with prompt access to its covered books and records, or would impact the Commission's ability to inspect and examine MBL;
- is strictly limited to the application of Australian law to the matters stated in it and does not apply by implication to other laws or matters;
- is for the benefit of MBL, and the contents of this opinion may not, without our prior written consent, be relied on by any other person; however, the Commission may rely on this opinion when considering MBL's application for registration as a SBSD under section 15F of the Exchange Act;
- shall not, for the avoidance of doubt, be deemed create a solicitor/own client or other kind of fiduciary relationship between King & Wood Mallesons and the Commission or any other party other than MBL; and

6 APP 6.1.

7 "Sensitive information" is defined in s6(1) of the Privacy Act and, relevantly, includes information about an individual's criminal record.

8 APP 6.2(a)

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- shall not be disclosed to any other person, unless required by law; however, (a) MBL may file this opinion with the Commission in connection with its application for registration as a SBSD under section 15F of the Exchange Act, (b) this opinion may be referred to and relied upon by the Commission, and (c) the Commission may publish or disclose a copy of this opinion as a component of MBL's application for registration as an SBSD.

Yours sincerely

*King & Wood Mallesons*

King & Wood Mallesons

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**Attachment 4:** `mbllegalopinionclarification.pdf`

KING & WOOD
MALLESONS
金杜律师事务所

Level 61
Governor Phillip Tower
1 Farrer Place
Sydney NSW 2000
Australia

T +61 2 9296 2000

F +61 2 9296 3999

www.kwm.com

13 December 2021

To Macquarie Bank Limited
50 Martin Place
Sydney NSW 2000
Australia

# Application to the United States Securities and Exchange Commission for Security-Based
Swap Dealer Registration by Macquarie Bank Limited

# Clarification regarding confidentiality of opinion dated 13 December 2021

King and Wood Mallesons provided an opinion to Macquarie Bank Limited (MBL) dated 13 December
2021 in connection with MBL's application to the Securities and Exchange Commission of the United
States (Commission) for registration as a security-based swap dealer (SBSD) under section 15F of
the Securities Exchange Act of 1934.

The initial version of our opinion contained a pro-forma statement at the end of the document that
"[t]his communication and any attachments are confidential and may be privileged". It was not our
intention that this statement should restrict the Commission's entitlement to publish or disclose it, or to
refer to and rely on the opinion in connection with MBL's SBSD registration application.

To clarify the position, we subsequently issued a second version of the opinion without the pro-forma
statement at the end of the document.

Yours sincerely

King & Wood Mallesons

55253913_2

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**Attachment 5:** `mbl7Rsupplement.pdf`

# Macquarie Bank Limited (“MBL”) - Form SBSE-A/A Supplemental Information

MBL is submitting Form SBSE-A/A with the following supplementary document: **mbl7R PDF**

This supplementary document is MBL's 7R filings compiled into one PDF document. Each 7R filing was previously submitted as a separate document with MBL's initial SBSE-A registration submission.

**Attachment 6:** `ScheduleBofFormSBSEA.pdf`

# **Schedule B of FORM SBSE-A**  
 **Section B - Item 14**

| Schedule B | Item 14 Record: 1 Additional Response | Data Point | Answer |
| --- | --- | --- | --- |
|  | II.14 i | Firm or Organization Name | Macquarie Group Limited |
|  | II.14 i | SEC File, CRD, NFA, IARD, UIC, and/or CIR Number (if any) |  |
|  | II.14 i | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 i | Effective Date | 11/13/2007 |
|  | II.14 i | Termination Date | n/a |
|  | II.14 i | Briefly describe the nature of the control or agreement (ITEM 14) | Macquarie Group Limited owns 100% of Macquarie B.H. Pty Limited, which owns 100% of Macquarie Bank Limited. |
| Schedule B | Item 14 Record: 2 Additional Response | Data Point | Answer |
|  | II.14 ii | Firm or Organization Name | Macquarie B.H. Pty Limited |
|  | II.14 ii | SEC File, CRD, NFA, IARD, UIC, and/or CIR Number (if any) |  |
|  | II.14 ii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 ii | Effective Date | 11/19/2007 |
|  | II.14 ii | Termination Date | n/a |
|  | II.14 ii | Briefly describe the nature of the control or agreement (ITEM 14) | Macquarie Group Limited owns 100% of Macquarie B.H. Pty Limited, which owns 100% of Macquarie Bank Limited. |
| Schedule B | Item 14 Record: 3 | Data Point | Answer |
|  | II.14 iii | Individual Name | Alexander, Harme, Harvey |
|  | II.14 iii | CRD, NFA, and/or IARD Number (if any) | NFA ID 0511120 |
|  | II.14 iii | Business Address (If applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 iii | Effective Date | 1/1/2018 |
|  | II.14 iii | Termination Date | n/a |
|  | II.14 iii | Briefly describe the nature of the control or agreement (ITEM 14) | Chief Financial Officer of Macquarie Bank Limited |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Alex Harvey joined Macquarie in August 1998. He currently is the Chief Financial Officer of Macquarie Group and also the Executive Chairman of Macquarie Group in Asia. Before being appointed CFO in November 2017, Alex was the Global Head of the Principal Transaction Group in Macquarie Capital and a member of Macquarie Capitals Management Committee. Alex was the first Chief Executive Officer of Macquarie operations in Asia where he was responsible for a business with more than 3,400 staff across 14 locations. Alex has more than 20 years experience in the financial services industry across Australia, Asia, Europe and the United States. In August 2015, Alex was appointed Chairman of the Police Citizens Youth Clubs NSW Board. Alex is also a Board member of High Resolves. Alex holds a Master of Commerce, Bachelor of Economics from Sydney University and is a member of the Institute of Chartered Accountants. |
|  | II.14 iii |  |  |
| Schedule B | Item 14 Record: 4 | Data Point | Answer |
|  | II.14 iii | Individual Name | Shemara Wikramanayake |
|  | II.14 iii | CRD, NFA, and/or IARD Number (if any) | NFA ID 0460609 |
|  | II.14 iii | Business Address (If applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 iii | Effective Date | 8/1/2018 |
|  | II.14 iii | Termination Date | n/a |
|  | II.14 iii | Briefly describe the nature of the control or agreement (ITEM 14) | Executive voting Director of Macquarie Bank Limited and Chief Executive Officer of Macquarie Group |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Shemara Wikramanayake has been Macquarie Group Managing Director and CEO since December 2018. Shemara joined Macquarie in 1987 in Macquarie Capital in Sydney. In her time at Macquarie, Shemara has earned in six countries and across several business lines, establishing and leading Macquarie's corporate advisory offices in New Zealand, Hong Kong and Malaysia, and the infrastructure funds management business in the US and Canada. Shemara has also served as Chair of the Macquarie Group Foundation. As Head of Macquarie Asset Management for 10 years before her appointment as CEO, Shemara led a team of 1,600 staff in 24 markets. Macquarie Asset Management grew to become a world-leading manager of infrastructure and real assets and a top 50 global public securities manager. In 2018, Shemara was appointed a Commissioner of the Global Commission on Adaptation, a World Bank-led initiative to accelerate climate adaptation action and create concrete solutions which enhance resilience. |
|  | II.14 iii |  |  |
| Schedule B | Item 14 Record: 5 | Data Point | Answer |
|  | II.14 v | Individual Name | Jillian, Rosemary, Broadbent |
|  | II.14 v | CRD, NFA, and/or IARD Number (if any) | NFA ID 0518914 |
|  | II.14 v | Business Address (If applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 v | Effective Date | 11 05 2018 |
|  | II.14 v | Termination Date | n/a |
|  | II.14 v | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Jillian Broadbent has extensive investment banking industry knowledge and markets expertise, including a deep knowledge of risk management and regulation in these areas. She also has considerable executive management and listed company board experience. Ms Broadbent spent 22 years at Bankers Trust Australia until 1998, initially as an economic strategist and then as executive director responsible for risk management and derivatives in foreign exchange, interest rates and commodities. |
|  | II.14 v |  | Ms Broadbent was also a Member of the Reserve Bank of Australia Board between 1998 and 2013 and has previously served as Chair of the Board of Clean Energy Finance Corporation (CEFC), and as a director of ASX Limited, SBS, Coca Cola Amatil Limited, Woodside Petroleum Limited, Qantas Airways Limited, Westfield Management Limited and Woolworths Group Limited. |
| Schedule B | Item 14 Record: 6 Additional Response | Data Point | Answer |

# **Schedule B of FORM SBSE-A**  
 **Section B - Item 14**

| Schedule B | Item 14 Record: 1 Additional Response | Data Point | Answer |
| --- | --- | --- | --- |
|  | II.14 vi | Individual Name | Philip, Matthew, Coffey |
|  | II.14 vi | CRD, NFA, and/or IARD Number (if any) | NFA ID 451249 |
|  | II.14 vi | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 vi | Effective Date | 08 28 2018 |
|  | II.14 vi | Termination Date | n/a |
|  | II.14 vi | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Phil Coffey served as the Deputy Chief Executive Officer (CEO) of Westpac Banking Corporation, from April 2014 until his retirement in May 2017. As the Deputy CEO, Mr Coffey had the responsibility of overseeing and supporting relationships with key stakeholders of Westpac including industry groups, regulators, customers and government. He was also responsible for the Group's Mergers & Acquisitions function. Prior to this role, Mr Coffey held a number of executive positions at Westpac beginning in December 2005, including Chief Financial Officer and Group Executive, Westpac Institutional Bank. He has successfully led operations based in Australia, New Zealand, the United States, the United Kingdom and Asia and has extensive experience in financial markets, funds management, balance sheet management and risk management. He began his career at the Reserve Bank of Australia and has also held executive positions at the AIDC Limited and Citigroup. |
|  | II.14 vi |  |  |
| Schedule B | Item 14 Record: 7 Additional Response | Data Point | Answer |
|  | II.14 vii | Individual Name | Michael, John, Coleman |
|  | II.14 vii | CRD, NFA, and/or IARD Number (if any) | NFA ID 454205 |
|  | II.14 vii | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 vii | Effective Date | 11 09 2012 |
|  | II.14 vii | Termination Date |  |
|  | II.14 vii | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | After a career as a senior audit partner with KPMG for 30 years, Michael Coleman has been a professional Non-Executive Director since 2011. He has significant experience in risk management, financial and regulatory reporting and corporate governance. Mr Coleman has been the Chairman of Bingo Industries Limited and ING Management Limited, a member of the Audit Committee of the Reserve Bank of Australia and a member of the Financial Reporting Council, including terms as Chairman and Deputy Chairman. During his time with KPMG, Mr Coleman was a financial services specialist, providing audit and advisory services to large banks, investment banks and fund managers. He was KPMG's inaugural National Managing Partner Assurance and Advisory from 1998 to 2002, National Managing Partner for Risk and Regulation from 2002 to 2010, and Regional Leader for Asia Pacific Quality and Risk Management from 2002 to 2011. |
|  | II.14 vii |  |  |
| Schedule B | Item 14 Record: 8 Additional Response | Data Point | Answer |
|  | II.14 viii | Individual Name | Rebecca, Joy, McGrath |
|  | II.14 viii | CRD, NFA, and/or IARD Number (if any) | NFA ID 0536543 |
|  | II.14 viii | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 viii | Effective Date | 01 20 2021 |
|  | II.14 viii | Termination Date | n/a |
|  | II.14 viii | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Rebecca McGrath is an experienced professional company director and Chairman, with substantial international business experience. She spent 25 years at BP plc from January 1989 through January 2011 where she held various executive positions, including Chief Financial Officer Australasia and served as a member of BP's Executive Management Board for Australia and New Zealand. Ms McGrath has served as a director of CSR Limited, Big Sky Credit Union and Incitec Pivot Ltd. and as Chairman of Kifinan Australia. She is a former member of the JP Morgan Advisory Council. She has attended executive management programmes at Harvard Business School, Cambridge University and MIT in Boston. |
|  | II.14 viii |  |  |
| Schedule B | Item 14 Record: 9 Additional Response | Data Point | Answer |
|  | II.14 ix | Individual Name | Michael, Roche |
|  | II.14 ix | CRD, NFA, and/or IARD Number (if any) | NFA ID 0536581 |
|  | II.14 ix | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 ix | Effective Date | 01 20 2021 |
|  | II.14 ix | Termination Date | n/a |
|  | II.14 ix | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Mike Roche has over 40 years' experience in the finance sector as a highly skilled and experienced provider of strategic, financial, mergers and acquisitions, and capital advice to major corporate, private equity and government clients. He held senior positions with AXA Australia as a qualified actuary and Capel Court/ANZ Capel Court. Mr Roche spent from January 1993 to January 2016 at Deutsche Bank and was Head of Mergers and Acquisitions (Australia and New Zealand) for 10 years where he advised on major takeovers, acquisitions, privatisations, and divestments. He stepped down as Deutsche Bank's Chairman of Mergers and Acquisitions (Australia and New Zealand) in 2016. He was a member of the Takeovers Panel for two terms from 2008 to 2014. |
|  | II.14 ix |  |  |
| Schedule B | Item 14 Record: 10 Additional Response | Data Point | Answer |
|  | II.14 x | Individual Name | Nicole, Gal, Sorbara |
|  | II.14 x | CRD, NFA, and/or IARD Number (if any) | NFA ID 0511090 |
|  | II.14 x | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 x | Effective Date | 01 01 2013 |

# **Schedule B of FORM SBSE-A**  
 **Section B - Item 14**

| Schedule B | Item 14 Record: 1 Additional Response | Data Point | Answer |
| --- | --- | --- | --- |
|  | II.14 x | Termination Date | n/a |
|  | II.14 x | Briefly describe the nature of the control or agreement (ITEM 14) | Global Chief Operating Officer of Macquarie Bank Limited |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Nicole Sorbara is a Chartered Accountant and has more than 25 years' experience in accounting and financial services. She joined Macquarie in 1996. Nicole is Group Head of Corporate Operations Group (COG) and Global Chief Operating Officer (COO) and has been on the Macquarie Group Executive Committee since 1 January 2013. She leads a global team of 4,000 people across 22 countries covering Digital Transformation & Data, Technology, Market Operations, Human Resources, Business Services, Business Improvement & Strategy, and Macquarie Group Foundation. |
|  | II.14 x |  |  |
| Schedule B | Item 14 Record: 11 Additional Response | Data Point | Answer |
|  | II.14 xi | Individual Name | Glenn, Robert, Stevens |
|  | II.14 xi | CRD, NFA, and/or IARD Number (if any) | NFA ID 0510224 |
|  | II.14 xi | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 xi | Effective Date | 11 01 2017 |
|  | II.14 xi | Termination Date | n/a |
|  | II.14 xi | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Glenn Stevens worked at the highest levels of the Reserve Bank of Australia (RBA) for 20 years, including holding the roles of Head of the Economic Analysis Department and Head of the International Department. As well as developing Australia's successful inflation targeting framework for monetary policy, he played a significant role in central banking internationally. Most recently, he was Governor of the Reserve Bank of Australia between 2006 and 2016. Mr Stevens has also made key contributions to a number of Australian and international boards and committees, including as chair of the Australian Council of Financial Regulators between 2006 and 2016, as a member of the Financial Stability Board and on a range of G20 committees. |
|  | II.14 xi |  |  |
| Schedule B | Item 14 Record: 12 Additional Response | Data Point | Answer |
|  | II.14 xii | Individual Name | Nicola, Mac Wakefield Evans |
|  | II.14 xii | CRD, NFA, and/or IARD Number (if any) | NFA ID 0474529 |
|  | II.14 xii | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 xii | Effective Date | 02 07 2014 |
|  | II.14 xii | Termination Date |  |
|  | II.14 xii | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Nicola Wakefield Evans is an experienced Non-Executive Director and corporate finance lawyer. As a lawyer, Nicola has significant Asia-Pacific experience and was a partner at King & Wood Mallesons (and its predecessor, Mallesons Stephen Jaques) for more than 20 years. Ms Wakefield Evans has particular expertise in the financial services, resources and energy, and infrastructure sectors. She held several key management positions at King & Wood Mallesons including Managing Partner International in Hong Kong and Managing Partner, Practice in Sydney. |
|  | II.14 xii |  |  |
| Schedule B | Item 14 Record: 13 Additional Response | Data Point | Answer |
|  | II.14 xiii | Individual Name | Peter, Hastings, Warne |
|  | II.14 xiii | CRD, NFA, and/or IARD Number (if any) | NFA ID 0454203 |
|  | II.14 xiii | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 xiii | Effective Date | 07 01 2007 |
|  | II.14 xiii | Termination Date | n/a |
|  | II.14 xiii | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Peter Warne has extensive knowledge of, and experience in, financial services and investment banking, through a number of senior roles at Bankers Trust Australia Limited, including as Head of its global Financial Markets Group from 1989 to 1999. Mr Warne was a Director of the Sydney Futures Exchange (SFE) from 1990 to 1999, then from 2000 to 2006. He served as Deputy Chairman of the SFE from 1995 to 1999. When the SFE merged with the Australian Securities Exchange (ASX Limited) in July 2006, he became a Director of ASX Limited, a position he held to 2020. Mr Warne has previously served as Chairman of ALE Property Group from 2003 to 2017. He was a Director of New South Wales Treasury Corporation from 2012 to 2020, where he served as interim Chairman from 2019 to 2020. |
|  | II.14 xiii |  |  |
| Schedule B | Item 14 Record: 14 Additional Response | Data Point | Answer |
|  | II.14 xiv | Individual Name | Stuart Green |
|  | II.14 xiv | CRD, NFA, and/or IARD Number (if any) | NFA ID 0541286 |
|  | II.14 xiv | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 xiv | Effective Date | 07 01 2021 |
|  | II.14 xiv | Termination Date | n/a |
|  | II.14 xiv | Briefly describe the nature of the control or agreement (ITEM 14) | CHIEF EXECUTIVE OFFICER OF MACQUARIE BANK LIMITED |

# **Schedule B of FORM SBSE-A**  
 **Section II - Item 14**

| Schedule B | Item 14 Record: 1 Additional Response | Data Point | Answer |
| --- | --- | --- | --- |
|  | ii.14 xiv | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Stuart joined Macquarie Group in 2001 and was appointed Group Treasurer in August 2013, a role he held until July 2021 when he was appointed the Chief Executive Officer of Macquarie Bank Limited. On joining Macquarie, Stuart worked in the Corporate & Asset Finance group, responsible for originating asset financing transactions for Macquarie. In 2002, Stuart assumed responsibility for investor relations for Macquarie's listed airport fund, Macquarie Airports, before moving to become Global Head of Investor Relations for Macquarie's portfolio of listed funds. In 2008 he was appointed Macquarie Group's Head of Corporate Communications and Investor Relations, responsible for managing the Group's relationships with investors and analysts. |
| Schedule B | Item 14 Record: 14 Additional Response | Data Point | Answer |
|  | ii.14 xv | Individual Name | Michelle Hinchliffe |
|  | ii.14 xv | CRD, NFA, and/or IARD Number (if any) | NFA ID 0547381 |
|  | ii.14 xv | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | ii.14 xv | Effective Date | 2/28/2022 |
|  | ii.14 xv | Termination Date | n/a |
|  | ii.14 xv | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  | ii.14 xv | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Michelle Hinchliffe has more than 35 years' professional experience within the financial services sector in the United Kingdom and Australia, with extensive experience in leading large global teams in the provision of external audit, internal audit and advisory services to clients across financial services. Michelle was Chair of Audit, KPMG UK from May 2019 to September 2021, a board member of KPMG UK from May 2019 to February 2022, and Head of Audit, KPMG UK from September 2017 to April 2019. Prior to this she was Global Lead Audit Partner for a global banking institution, and the Head of Financial Services for KPMG Australia, where she was also a member of the board. |

**Attachment 7:** `mbl7R-May22-Update.pdf`

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 1

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## 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 17, 2012

Page 2

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

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 17, 2012

Page 3

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

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 17, 2012

Page 4

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## 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 17, 2012

Page 5

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

**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 17, 2012

Page 6

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

**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 17, 2012

Page 7

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

- 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 17, 2012

Page 8

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## 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 17, 2012

Page 9

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

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 17, 2012

Page 10

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

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 17, 2012

Page 11

OMB Number 3038-0072

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted By MCBRIDEJ2 JANNELL MCBRIDE

Form 8-W 0.1 hours.

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 12

OMB Number 3038-0072

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted By MCBRIDEJ2 JANNELL MCBRIDE

## Registration Categories

NFA MEMBER

SWAP DEALER

## Membership Information

Not applicable.

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 13

OMB Number 3038-0072

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted By MCBRIDEJ2 JANNELL MCBRIDE

## Business Information

Business Address NO. 1 MARTIN PLACE SYDNEY, NSW 2000 AUSTRALIA

Phone Number 61-2-8232-3333

Fax Number Not provided.

E-mail Address Not provided.

Website / URL Not provided.

Federal EIN 98-0163788

CRD ID Not provided.

Form of Organization CORPORATION

Location AUSTRALIA

Other Names

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 14

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## Location of Business Records

### Business Records Address

NO. 1 MARTIN PLACE  
SYDNEY, NSW 2000  
AUSTRALIA

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

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 15

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## Holding Company Information

Name: MACQUARIE B.H. PTY LTD
10% or more interest? YES

Name: MACQUARIE GROUP LIMITED
10% or more interest? YES

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 16

OMB Number 3038-0072

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted By MCBRIDEJ2 JANNELL MCBRIDE

## Regulator Information

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

- AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
- FINANCIAL SERVICES AUTHORITY (UNITED KINGDOM)
- HONG KONG MONETARY AUTHORITY
- AUSTRALIAN PRUDENTIAL REGULATION AUTHORITY
- MONETARY AUTHORITY OF SINGAPORE
- FINANCIAL SUPERVISORY SERVICE (SOUTH KOREA)
- FINANCIAL SERVICES COMMISSION (SOUTH KOREA)

### U.S. Regulator(s)

THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 17

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## Disciplinary Information

### Criminal Disclosures

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

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

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

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

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

NO

B. Has the firm or sole proprietor ever pled guilty to or been convicted or found guilty of any misdemeanor in any domestic, foreign or military court which involves:

NO

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

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 18

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

securities?

C. Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a 'Yes' answer to the above questions?

**NO**

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

**N/A**

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 19

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## Regulatory Disclosures

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

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

NO

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

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

YES

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

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

NO

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

NO

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 20

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

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 17, 2012

Page 21

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## 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 17, 2012

Page 22

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## Contact Information

### Registration Contact

ISABEL HERNANDEZ  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1842  
Fax: 212-231-1598  
E-mail: ISABEL.HERNANDEZ@MACQUARIE.COM

### Membership Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Accounting Contact

GAVIN CASE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-2149  
Fax: 212-231-2399  
E-mail: GAVIN.CASE@MACQUARIE.COM

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 23

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## Arbitration Contact

ANTHONY LENNON  
CHIEF REPRESENTATIVE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-2083  
Fax: 212-231-2177  
E-mail: ANTHONY.LENNON@MACQUARIE.COM

## Compliance Contact

JOHN POLANIN, JR.  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1595  
Fax: 212-231-1598  
E-mail: JOHN.POLANIN@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

JOHN POLANIN, JR.  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1595  
Fax: 212-231-1598  
E-mail: JOHN.POLANIN@MACQUARIE.COM

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 24

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

## Enforcement/Compliance Communication Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

# National Futures Association

Firm Application (7R) Filed December 17, 2012

OMB Number 3038-0072

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted By MCBRIDEJ2 JANNELL MCBRIDE

Page 25

## 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 17, 2012

Page 26

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

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 17, 2012

Page 27

**OMB Number** 3038-0072

**NFA ID** 0240934 MACQUARIE BANK LIMITED

**Submitted By** MCBRIDEJ2 JANNELL MCBRIDE

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 17, 2012

Page 28

OMB Number 3038-0072

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted By MCBRIDEJ2 JANNELL MCBRIDE

## Confidential Matter Information

### Regulatory Disclosures

Matter Name SYDNEY FUTURES COMMISSION - ORDER DETAILS 1999

Matter Details IN 1999, THE SFE ALLEGED THAT MBL HAD BREACHED SFE REQUIREMENTS IN RELATION TO FAILING TO TAKE AN EXPRESSION OF INTEREST TO THE MARKET AND A FAILURE TO RECORD ORDER DETAIL IN RELATIONS TO A CROSS TRADE THAT OCCURRED IN NOVEMBER 1998. AS A RESULT OF ITS INVESTIGATION, THE SFE IMPOSED A FINE OF A$5,000 AND MBL REVIEWED ITS INTERNAL PRACTICES IN THE RELEVANT AREA.

Matter Name SYDNEY FUTURES COMMISSION - IDENTIFIER CLIENT 2002

Matter Details IN 2002, THE SFE ALLEGED THAT MBL HAD BREACHED SFE RULES IN RELATION TO DISCLOSURE, REGISTRATION, FAILURE TO TAKE AN EXPRESSION OF INTEREST TO THE MARKET, AND FAILURE TO ENTER A CLIENT IDENTIFIER. AS A RESULT OF ITS INVESTIGATIONS, THE SFE IMPOSED A FINE OF A$5,000 AND MBL REVIEWED ITS INTERNAL PRACTICES IN THE RELEVANT AREA.

Matter Name SYDNEY FUTURES COMMISSION - CLIENT REPORTING 2001

Matter Details IN 2001, THE SFE ALLEGED THAT MBL HAD BREACHED SFE REQUIREMENTS IN RELATION TO PRIORITIZING MULTIPLE CLIENTS AND EXCEPTIONS IN REGULATORY REPORTING. AS A RESULT OF ITS INVESTIGATION, THE SFE IMPOSED A FINE OF A$5,000 AND MBL REVIEWED ITS INTERNAL PRACTICES IN THE RELEVANT AREA.

Matter Name SYDNEY FUTURES COMMISSION - RECORDING CALLS 2001

Matter Details THE SFE ALLEGED THAT MBL HAD BREACHED SFE REQUIREMENTS IN RELATION TO FAILING TO DEAL IN A

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 29

OMB Number 3038-0072

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted By MCBRIDEJ2 JANNELL MCBRIDE

PROPER MANNER AND RECORD TELEPHONE CALLS. AS A RESULT OF ITS INVESTIGATION, THE SFE IMPOSED A FINE OF A$3,500 AND MBL REVIEWED ITS INTERNAL PRACTICES IN THE RELEVANT AREA.

Matter Name SYDNEY FUTURES COMMISSION - TRANSACTION DISCREPANCIES 2005

Matter Details DURING A ROUTINE REVIEW, THE SFE FOUND CERTAIN DISCREPANCIES IN EXCHANGE FOR PHYSICAL (EFP) TRANSACTIONS EFFECTED BY MBL. AS A RESULT OF ITS INVESTIGATIONS, THE SFE IMPOSED A FINE OF A$20,000 AND MBL REVIEWED ITS INTERNAL PRACTICES IN THE RELEVANT AREA.

Matter Name FAIR TRADE COMMISSION OF SOUTH KOREA - REGULATORY FILINGS 2004

Matter Details MBL WAS REQUIRED UNDER KOREAN LAW TO MAKE REGULATORY FILINGS REGARDING CERTAIN HOLDINGS AND ENGAGED LOCAL COUNSEL TO ADVISE IT. RELYING ON LOCAL COUNSEL'S ADVICE, MBL WAS LATE IN MAKING A FILING. UPON DISCOVERY OF THE DEFICIENCY, MBL PROMPTLY MADE THE REQUIRED FILING AFTER 15 DAYS OF THE DEADLINE. WITHOUT CONTESTING THE MATTER, MBL AGREED TO PAY A FINE IN KOREAN WON (APPROX. A$7,300) IMPOSED BY THE FTC.

Matter Name SYDNEY FUTURES COMMISSION - ORDER EXECUTION 2003

Matter Details THE SFE ALLEGED THAT MBL HAD WITHHELD AN ORDER IN RELATION TO A CROSS TRADE, IMPROPERLY DISCLOSED THAT ORDER, DID NOT EXECUTE OR TRANSMIT THE ORDER IN SEQUENCE OF RECEIPT, AND DID NOT FULLY COMPLY WITH A TRADING PROCEDURE. AS A RESULT OF ITS INVESTIGATIONS, THE SFE IMPOSED A FINE OF A$5,000 AND MBL REVIEWED ITS INTERNAL PRACTICES IN THE RELEVANT AREA.

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 30

OMB Number 3038-0072

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted By MCBRIDEJ2 JANNELL MCBRIDE

Matter Name SYDNEY FUTURES COMMISSION - BUSINESS PROCEDURES 1997

Matter Details AT THE TIME OF THE ALLEGED INFRACTION, MBL WAS IN DISCUSSIONS WITH THE SFE OVER THE OPERATION OF RELEVANT RULES. DURING THESE DISCUSSIONS, MBL WAS OPERATING UNDER THE MISUNDERSTANDING THAT ITS PROCEDURES WERE ACCEPTABLE NOTWITHSTANDING THEIR TECHNICAL NON-COMPLIANCE. THE SFE ORIGINALLY SOUGHT A HIGHER FINE BUT AGREED ON APPEAL TO REDUCE THE FINE TO A$5,000 BASED IN PART ON THE MISUNDERSTANDING BY MBL BEING RECOGNIZED BY THE SFE.

Matter Name AUSTRALIAN SECURITIES EXCHANGE - WARRANT CLIENT AGREEMENT 2006

Matter Details THE ASX ALLEGED THAT MBL HAD FAILED TO RETAIN A WARRANT CLIENT AGREEMENT AS REQUIRED UNDER OLD ASX BUSINESS RULE 8.14.1. IN ITS WRITTEN DETERMINATION, THE ASX NOTED THAT THE BREACH WAS APPARENTLY A ONE-OFF ISSUE AND NOT A SYSTEMATIC PROBLEM, AND THAT THERE WAS INFORMATION AVAILABLE THAT SUGGESTED THAT THE CLIENT WAS PROVIDED WITH THE APPROPRIATE DISCLOSURES ON THE RISKS OF WARRANT TRADING. FINE OF A$12,000 PAID.

Matter Name SYDNEY FUTURES EXCHANGE - POST ALLOCATION PROHIBITIONS 2007

Matter Details THE SFE ALLEGED THAT MBL HAD FAILED TO COMPLY WITH OPERATING RULE 3.1.20(A) RELATING TO POST-ALLOCATION PROHIBITIONS. IN ITS DETERMINATION, THE SFE NOTED THAT MBL HAD SELF-REPORTED THE MATTER TO THE REGULATOR. FINE OF A$30,000 PAID.

Matter Name SYDNEY FUTURES EXCHANGE - TRADE ALLOCATION 2008

Matter Details SFE ALLEGED THAT MBL HAD BREACHED THE SFE

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 31

OMB Number 3038-0072

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted By MCBRIDEJ2 JANNELL MCBRIDE

OPERATING RULE 3.1.20 IN THAT MBL'S REPRESENTATIVE RECEIVED ORDERS FROM HIS CLIENT THAT WERE VALID FOR THE NIGHT SESSION ONLY AND SHOULD HAVE BEEN CANCELLED AT THE END OF THE DAY. IT APPEARED HOWEVER, THAT THE ORDERS WERE NOT CANCELLED AND WERE SUBSEQUENTLY EXECUTED ON THE OPEN OF THE FOLLOWING SESSION. THE COMMITTEE NOTED THAT THE PARTICIPANT'S REPRESENTATIVE OFFERED THE TRADES TO HIS CLIENT, THAT WERE NOT PURSUANT TO CLIENT INSTRUCTIONS (CAUSING A BREACH OF RULE 3.1.20) AND THAT THE CLIENT DECLINED TO TAKE THEM. IN ITS DETERMINATION, THE SFE NOTED THAT MBL HAS SELF-REPORTED THE MATTER TO THE REGULATOR. FINE OF $A4,000 PAID.

Matter Name SYDNEY FUTURES EXCHANGE - ASX OPERATING RULES 2008
Matter Details THE MARKET PRACTICES COMMITTEE OF SFE NOTED THAT THE ADVISORY AFFILIATE WAS FOUND TO HAVE BEEN IN BREACHES OF ASX OPERATING RULES 3.1.1 AND 3.1.10 AND IMPOSED A FINE OF AUSTRALIAN $5,000. IT ALSO FOUND THAT MBL HAD BREACHED ASX OPERATING RULE 3.1.13, BUT THAT THE BREACH WAS INADVERTENT AND THEREFORE THAT NO FURTHER ACTION WAS WARRANTED. FINE OF A$5,000 PAID.

Matter Name AUSTRALIAN STOCK EXCHANGE - TRADING VIOLATION 2010
Matter Details ASX'S DISCIPLINARY TRIBUNAL FOUND THAT MBL WAS NOT IN COMPLIANCE WITH RULES 3.1.13 AND 3.1.14 OF THE SYDNEY FUTURES EXCHANGE IN THAT IT HAD PRE-ARRANGED A TRADE AND TRADED TO THE EXCLUSION OF OTHERS IN THE SPI FUTURES OPTIONS. FINE OF A$40,000 WAS PAID BY MBL ON 17 JUNE 2011. NO OTHER SANCTIONS ORDERED.

Matter Name FAIR TRADE COMMISSION OF SOUTH KOREA - REGULATORY FILINGS 2004
Matter Details MACQUARIE BANK LIMITED (MBL) WAS REQUIRED UNDER

# National Futures Association

Firm Application (7R) Filed December 17, 2012

Page 32

OMB Number 3038-0072

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted By MCBRIDEJ2 JANNELL MCBRIDE

KOREAN LAW TO MAKE REGULATORY FILINGS REGARDING CERTAIN HOLDINGS AND ENGAGED LOCAL COUNSEL TO ADVISE IT. RELYING ON ADVICE, MBL WAS LATE IN MAKING A FILING. UPON DISCOVERY OF THE DEFICIENCY, MBL PROMPTLY MADE THE REQUIRED FILING AFTER 15 DAYS OF THE DEADLINE. WITHOUT CONTESTING THE MATTER, MBL AGREED TO PAY A FINE IN KOREAN WON (APPROX. A$7,300) IMPOSED BY THE FTC.

10/14/21, 10:18 AM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0240934 MACQUARIE BANK LIMITED

### FIRM REGULATORY MATTER INFORMATION FILED

**MATTER NAME:** ASIC V. STORM FINANCIAL LTD (IN LIQUIDATION), ET AL.

**MATTER DETAIL:** THE PROCEEDING (ASIC V. STORM FINANCIAL LTD [IN LIQUIDATION], COMMONWEALTH BANK OF AUSTRALIA, BANK OF QUEENSLAND, AND MACQUARIE BANK LTD.) WAS COMMENCED IN THE FEDERAL COURT OF AUSTRALIA, BRISBANE REGISTRY, PROCEEDING NUMBER QUD 577 OF 2010. THE PROCEEDING WAS COMMENCED IN DECEMBER 2010. IN THE PROCEEDING, ASIC SOUGHT A DECLARATION, AND AN INJUNCTION, THAT STORM WAS OPERATING AN UNREGISTERED MANAGED INVESTMENT SCHEME, IN BREACH OF SECTION 601ED OF THE CORPORATIONS ACT. ASIC ALLEGES THAT THIS OCCURRED FROM SOME TIME IN 2000/2001 UNTIL FEBRUARY 2009. ASIC FURTHER SOUGHT SIMILAR ORDERS THAT THE THREE BANKS WERE KNOWINGLY INVOLVED, AS THOSE WORDS ARE UNDERSTOOD IN SECTION 79 OF THE ACT, IN STORMS'S OPERATION OF AN UNREGISTERED MANAGED INVESTMENT SCHEME. THE HEARING OF THE PROCEEDING COMMENCED IN MID SEPTEMBER 2012. THE BUSINESS DAY BEFORE THE HEARING WAS DUE TO COMMENCE, ASIC SETTLED THE PROCEEDING AS AGAINST THE CBA. THE HEARING CONCLUDED AT THE END OF FEBRUARY 2013 AND THE JUDGE RESERVED HIS JUDGMENT.

**FILED BY:** MCBRIDEJ2

**FILED ON:** 5/28/2013 3:49:56 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=1032&formSeqNum=750081&appendChangeText=&changeTypeDesc=FIR... 1/1

10/14/21, 10:23 AM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0240934 MACQUARIE BANK LIMITED

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED NO

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | NO |
| FILED BY: | MCBRIDEJ2 |
| FILED ON: | 5/29/2013 1:26:29 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=750261&appendChangeText=NO&changeTypeDesc=F... 1/1

10/14/21, 10:22 AM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0240934 MACQUARIE BANK LIMITED

### 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:** MCBRIDEJ2

**FILED ON:** 5/29/2013 1:26:29 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=750260&appendChangeText=I+CHANGED&changeTy... 1/1

# National Futures Association

Business Locations (3R)

Page 1

Filed September 23, 2014

Registrant MACQUARIE BANK LIMITED

Submitted By JOSEPH ROSS

OMB Number 3038-0072

NFA ID 0240934

User ID ROSSJ1

## Business Information

Business Address LEVEL 6
50 MARTIN PLACE
SYDNEY, NSW 2000
AUSTRALIA

Phone Number 61-2-8232-3333

Fax Number Not provided.

E-mail Address Not provided.

# National Futures Association

Business Locations (3R)

Page 2

| Filed | September 23, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

## Location of Business Records

### Business Records Address

LEVEL 6  
50 MARTIN PLACE  
SYDNEY, NSW 2000  
AUSTRALIA

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

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

| Filed | September 23, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Contact Information

### Registration Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-1598  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

### Membership Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Accounting Contact

GAVIN CASE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-2149  
Fax: 212-231-2399  
E-mail: GAVIN.CASE@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 4

| Filed | September 23, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Arbitration Contact

ANTHONY LENNON  
CHIEF REPRESENTATIVE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-2083  
Fax: 212-231-2177  
E-mail: ANTHONY.LENNON@MACQUARIE.COM

## Compliance Contact

JOHN POLANIN, JR.  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1595  
Fax: 212-231-1598  
E-mail: JOHN.POLANIN@MACQUARIE.COM

## Exempt Foreign Firm Contact

ANDREW STEWART  
FUTURES DIVISION  
LEVEL 5, 1 MARTIN PLACE  
SYDNEY NSW 2000  
AUSTRALIA  
Phone: 612 8232 3088  
Fax: 612 8232 4412

# National Futures Association

Business Locations (3R)

Page 5

| Filed | September 23, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Enforcement/Compliance Communication Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

JOHN POLANIN, JR.  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1595  
Fax: 212-231-1598  
E-mail: JOHN.POLANIN@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 6

| Filed | September 23, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## 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 | December 01, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Business Information

| Business Address | LEVEL 6 50 MARTIN PLACE SYDNEY, NSW 2000 AUSTRALIA |
| --- | --- |
| Phone Number | 61-2-8232-3333 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations (3R)

Page 2

| Filed | December 01, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

## Location of Business Records

### Business Records Address

LEVEL 6  
50 MARTIN PLACE  
SYDNEY, NSW 2000  
AUSTRALIA

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

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

| Filed | December 01, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Contact Information

### Registration Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-1598  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

### Membership Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Accounting Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-2399  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 4

| Filed | December 01, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Arbitration Contact

ANTHONY LENNON  
CHIEF REPRESENTATIVE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-2083  
Fax: 212-231-2177  
E-mail: ANTHONY.LENNON@MACQUARIE.COM

## Compliance Contact

JOHN POLANIN, JR.  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1595  
Fax: 212-231-1598  
E-mail: JOHN.POLANIN@MACQUARIE.COM

## Exempt Foreign Firm Contact

ANDREW STEWART  
FUTURES DIVISION  
LEVEL 5, 1 MARTIN PLACE  
SYDNEY NSW 2000  
AUSTRALIA  
Phone: 612 8232 3088  
Fax: 612 8232 4412

# National Futures Association

Business Locations (3R)

Page 5

| Filed | December 01, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Enforcement/Compliance Communication Contact

JOHN POLANIN, JR.  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1595  
Fax: 212-231-1598  
E-mail: JOHN.POLANIN@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 6

| Filed | December 01, 2014 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## 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 | March 06, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Business Information

| Business Address | LEVEL 6 50 MARTIN PLACE SYDNEY, NSW 2000 AUSTRALIA |
| --- | --- |
| Phone Number | 61-2-8232-3333 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations (3R)

Page 2

| Filed | March 06, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

## Location of Business Records

### Business Records Address

LEVEL 6  
50 MARTIN PLACE  
SYDNEY, NSW 2000  
AUSTRALIA

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

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

| Filed | March 06, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Contact Information

### Registration Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-1598  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

### Membership Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Accounting Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-2399  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 4

| Filed | March 06, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Arbitration Contact

ANTHONY LENNON  
CHIEF REPRESENTATIVE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-2083  
Fax: 212-231-2177  
E-mail: ANTHONY.LENNON@MACQUARIE.COM

## Compliance Contact

MICHELLE BROOM  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Exempt Foreign Firm Contact

ANDREW STEWART  
FUTURES DIVISION  
LEVEL 5, 1 MARTIN PLACE  
SYDNEY NSW 2000  
AUSTRALIA  
Phone: 612 8232 3088  
Fax: 612 8232 4412

# National Futures Association

Business Locations (3R)

Page 5

| Filed | March 06, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Chief Compliance Officer

STEVEN LYONS  
CHIEF COMPLIANCE OFFICER  
L2 50 MARTIN PLACE  
SYDNEY, NSW 2000  
AUSTRALIA  
Phone: 61 2 82328752  
E-mail: STEPHEN.LYONS@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

JOHN POLANIN, JR.  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1595  
Fax: 212-231-1598  
E-mail: JOHN.POLANIN@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 6

| Filed | March 06, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## 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.

10/14/21, 10:30 AM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0240934 MACQUARIE BANK LIMITED

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

**FIRST NAME:** JOHN
**LAST NAME:** POLANIN, JR.
**TITLE:**
**STREET ADDRESS 1:** 125 W. 55TH STREET
**STREET ADDRESS 2:**
**STREET ADDRESS 3:**
**CITY:** NEW YORK
**STATE:** NEW YORK
**PROVINCE:**
**COUNTRY:** UNITED STATES
**ZIP CODE:** 10019
**PHONE NUMBER:** 212-231-1595
**FAX NUMBER:** 212-231-1598
**E-MAIL ADDRESS:** JOHN.POLANIN@MACQUARIE.COM
**FILED BY:** ROSSJ1
**FILED ON:** 5/18/2015 9:14:29 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=1076&formSeqNum=896587&appendChangeText=DELETED&changeType... 1/1

# National Futures Association

Business Locations (3R)

Page 1

| Filed | May 18, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Business Information

| Business Address | LEVEL 6 50 MARTIN PLACE SYDNEY, NSW 2000 AUSTRALIA |
| --- | --- |
| Phone Number | 61-2-8232-3333 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations (3R)

Page 2

Filed May 18, 2015

Registrant MACQUARIE BANK LIMITED

Submitted By JOSEPH ROSS

OMB Number 3038-0072

NFA ID 0240934

User ID ROSSJ1

## Location of Business Records

Business Records Address

LEVEL 6

50 MARTIN PLACE

SYDNEY, NSW 2000

AUSTRALIA

U.S. Address for Production of Business Records

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE

125 W. 55TH STREET

NEW YORK, NY 10019

UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

| Filed | May 18, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Contact Information

### Registration Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-1598  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

### Membership Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Accounting Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-2399  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 4

| Filed | May 18, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## Arbitration Contact

ANTHONY LENNON  
CHIEF REPRESENTATIVE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-2083  
Fax: 212-231-2177  
E-mail: ANTHONY.LENNON@MACQUARIE.COM

## Compliance Contact

MICHELLE BROOM  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Exempt Foreign Firm Contact

ANDREW STEWART  
FUTURES DIVISION  
LEVEL 5, 1 MARTIN PLACE  
SYDNEY NSW 2000  
AUSTRALIA  
Phone: 612 8232 3088  
Fax: 612 8232 4412

# National Futures Association

Business Locations (3R)

Page 5

Filed May 18, 2015

Registrant MACQUARIE BANK LIMITED

Submitted By JOSEPH ROSS

OMB Number 3038-0072

NFA ID 0240934

User ID ROSSJ1

Chief Compliance Officer

STEVEN LYONS

CHIEF COMPLIANCE OFFICER

L2 50 MARTIN PLACE

SYDNEY, NSW 2000

AUSTRALIA

Phone: 61 2 82328752

E-mail: STEPHEN.LYONS@MACQUARIE.COM

Enforcement/Compliance Communication Contact

MICHELLE BROOM

COMPLIANCE OFFICER

125 W. 55TH STREET

NEW YORK, NY 10019

UNITED STATES

Phone: 212-231-1558

Fax: 212-231-2030

E-mail: MICHELLE.BROOM@MACQUARIE.COM

Enforcement/Compliance Communication Contact

AUGUSTINE WONG

125 WEST 55TH STREET

NEW YORK, NY 10019

UNITED STATES

Phone: 212-231-1581

E-mail: GUS.WONG@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 6

| Filed | May 18, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOSEPH ROSS | User ID | ROSSJ1 |

---

## 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 | November 03, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | MYRNA MARCELIN | User ID | MARCELINM2 |

---

## Business Information

| Business Address | LEVEL 6 50 MARTIN PLACE SYDNEY, NSW 2000 AUSTRALIA |
| --- | --- |
| Phone Number | 61-2-8232-3333 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations (3R)

Page 2

Filed November 03, 2015

Registrant MACQUARIE BANK LIMITED

Submitted By MYRNA MARCELIN

OMB Number 3038-0072

NFA ID 0240934

User ID MARCELINM2

## Location of Business Records

Business Records Address

LEVEL 6

50 MARTIN PLACE

SYDNEY, NSW 2000

AUSTRALIA

U.S. Address for Production of Business Records

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE

125 W. 55TH STREET

NEW YORK, NY 10019

UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

| Filed | November 03, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | MYRNA MARCELIN | User ID | MARCELINM2 |

---

## Contact Information

### Registration Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-1598  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

### Membership Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Accounting Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-2399  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 4

| Filed | November 03, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | MYRNA MARCELIN | User ID | MARCELINM2 |

---

## Arbitration Contact

ANTHONY LENNON  
CHIEF REPRESENTATIVE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-2083  
Fax: 212-231-2177  
E-mail: ANTHONY.LENNON@MACQUARIE.COM

## Compliance Contact

MICHELLE BROOM  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Exempt Foreign Firm Contact

ANDREW STEWART  
FUTURES DIVISION  
LEVEL 5, 1 MARTIN PLACE  
SYDNEY NSW 2000  
AUSTRALIA  
Phone: 612 8232 3088  
Fax: 612 8232 4412

# National Futures Association

Business Locations (3R)

Page 5

| Filed | November 03, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | MYRNA MARCELIN | User ID | MARCELINM2 |

---

## Chief Compliance Officer

MICHELLE BROOM  
CHIEF COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

AUGUSTINE WONG  
125 WEST 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1581  
E-mail: GUS.WONG@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 6

| Filed | November 03, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | MYRNA MARCELIN | User ID | MARCELINM2 |

---

## 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 | November 12, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | PAULINA CHAN | User ID | CHANP4 |

---

## Business Information

| Business Address | LEVEL 6 50 MARTIN PLACE SYDNEY, NSW 2000 AUSTRALIA |
| --- | --- |
| Phone Number | 61-2-8232-3333 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations (3R)

Page 2

| Filed | November 12, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | PAULINA CHAN | User ID | CHANP4 |

## Location of Business Records

### Business Records Address

LEVEL 6  
50 MARTIN PLACE  
SYDNEY, NSW 2000  
AUSTRALIA

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

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

| Filed | November 12, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | PAULINA CHAN | User ID | CHANP4 |

---

## Contact Information

### Registration Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-1598  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

### Membership Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Accounting Contact

JOSEPH ROSS  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1580  
Fax: 212-231-2399  
E-mail: JOSEPH.ROSS@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed November 12, 2015

Registrant MACQUARIE BANK LIMITED

Submitted By PAULINA CHAN

OMB Number 3038-0072

NFA ID 0240934

User ID CHANP4

### Arbitration Contact

ANTHONY LENNON

CHIEF REPRESENTATIVE

125 W. 55TH STREET

NEW YORK, NY 10019

UNITED STATES

Phone: 212-231-2083

Fax: 212-231-2177

E-mail: ANTHONY.LENNON@MACQUARIE.COM

### Compliance Contact

MICHELLE BROOM

CHIEF COMPLIANCE OFFICER

125 W. 55TH STREET

NEW YORK, NY 10019

UNITED STATES

Phone: 212-231-1558

Fax: 212-231-1598

E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Exempt Foreign Firm Contact

ANDREW STEWART

FUTURES DIVISION

LEVEL 1, 50 MARTIN PLACE

SYDNEY NSW 2000

AUSTRALIA

Phone: 612 8232 3088

Fax: 612 8232 4412

# National Futures Association

Business Locations (3R)

Page 5

| Filed | November 12, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | PAULINA CHAN | User ID | CHANP4 |

---

## Chief Compliance Officer

MICHELLE BROOM  
CHIEF COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

AUGUSTINE WONG  
125 WEST 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1581  
E-mail: GUS.WONG@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 6

| Filed | November 12, 2015 | OMB Number | 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | PAULINA CHAN | User ID | CHANP4 |

---

## 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** March 14, 2016

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** PAULINA CHAN

**User ID** CHANP4

## Business Information

**Business Address** LEVEL 6
50 MARTIN PLACE
SYDNEY, NSW 2000
AUSTRALIA

**Phone Number** 61-2-8232-3333

**Fax Number** Not provided.

**E-mail Address** Not provided.

# National Futures Association

Business Locations (3R)

Page 2

**Filed** March 14, 2016

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** PAULINA CHAN

**User ID** CHANP4

## Location of Business Records

### Business Records Address

LEVEL 6  
50 MARTIN PLACE  
SYDNEY, NSW 2000  
AUSTRALIA

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

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

**Filed** March 14, 2016

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** PAULINA CHAN

**User ID** CHANP4

## Contact Information

### Registration Contact

PAULINA CHAN
125 W. 55TH STREET
NEW YORK, NY 10019
UNITED STATES
Phone: 212-231-8096
Fax: 212-231-1598
E-mail: PAULINA.CHAN@MACQUARIE.COM

### Membership Contact

MICHELLE BROOM
COMPLIANCE OFFICER
125 W. 55TH STREET
NEW YORK, NY 10019
UNITED STATES
Phone: 212-231-1558
Fax: 212-231-2030
E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Accounting Contact

PAULINA CHAN
125 W. 55TH STREET
NEW YORK, NY 10019
UNITED STATES
Phone: 212-231-8096
Fax: 212-231-2399
E-mail: PAULINA.CHAN@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 4

**Filed** March 14, 2016

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** PAULINA CHAN

**User ID** CHANP4

## Arbitration Contact

ANTHONY LENNON  
CHIEF REPRESENTATIVE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-2083  
Fax: 212-231-2177  
E-mail: ANTHONY.LENNON@MACQUARIE.COM

## Compliance Contact

MICHELLE BROOM  
CHIEF COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Exempt Foreign Firm Contact

ANDREW STEWART  
FUTURES DIVISION  
LEVEL 1, 50 MARTIN PLACE  
SYDNEY NSW 2000  
AUSTRALIA  
Phone: 612 8232 3088  
Fax: 612 8232 4412

# National Futures Association

Business Locations (3R)

Page 5

**Filed** March 14, 2016

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** PAULINA CHAN

**User ID** CHANP4

## Chief Compliance Officer

MICHELLE BROOM  
CHIEF COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

PAULINA CHAN  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-8096  
Fax: 212-231-1598  
E-mail: PAULINA.CHAN@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 6

**Filed** March 14, 2016

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** PAULINA CHAN

**User ID** CHANP4

## Enforcement/Compliance Communication Contact

AUGUSTINE WONG  
125 WEST 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1581  
E-mail: GUS.WONG@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 7

**Filed** March 14, 2016

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** PAULINA CHAN

**User ID** CHANP4

## 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 | August 01, 2016 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | GAVIN CASE | User ID | CASEG4 |

---

## Business Information

| Business Address | LEVEL 6 50 MARTIN PLACE SYDNEY, NSW 2000 AUSTRALIA |
| --- | --- |
| Phone Number | 61-2-8232-3333 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations (3R)

Page 2

**Filed** August 01, 2016

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** GAVIN CASE

**User ID** CASEG4

## Location of Business Records

### Business Records Address

LEVEL 6  
50 MARTIN PLACE  
SYDNEY, NSW 2000  
AUSTRALIA

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

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

| Filed | August 01, 2016 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | GAVIN CASE | User ID | CASEG4 |

---

## Contact Information

### Registration Contact

PAULINA CHAN  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-8096  
Fax: 212-231-1598  
E-mail: PAULINA.CHAN@MACQUARIE.COM

### Membership Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Accounting Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 4

| Filed | August 01, 2016 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | GAVIN CASE | User ID | CASEG4 |

---

## Arbitration Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Compliance Contact

MICHELLE BROOM  
CHIEF COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Exempt Foreign Firm Contact

ANDREW STEWART  
FUTURES DIVISION  
LEVEL 1, 50 MARTIN PLACE  
SYDNEY NSW 2000  
AUSTRALIA  
Phone: 612 8232 3088  
Fax: 612 8232 4412

# National Futures Association

Business Locations (3R)

Page 5

| Filed | August 01, 2016 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | GAVIN CASE | User ID | CASEG4 |

---

## Chief Compliance Officer

MICHELLE BROOM  
CHIEF COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

AUGUSTINE WONG  
125 WEST 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1581  
E-mail: GUS.WONG@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 6

**Filed** August 01, 2016

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** GAVIN CASE

**User ID** CASEG4

## Enforcement/Compliance Communication Contact

PAULINA CHAN  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-8096  
Fax: 212-231-1598  
E-mail: PAULINA.CHAN@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 7

**Filed** August 01, 2016

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** GAVIN CASE

**User ID** CASEG4

## 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.

10/14/21, 10:38 AM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0240934 MACQUARIE BANK LIMITED

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | YES |
| FILED BY: | CHANP4 |
| FILED ON: | 3/8/2017 8:49:42 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=1007124&appendChangeText=YES&changeTypeDesc... 1/1

10/14/21, 10:36 AM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0240934 MACQUARIE BANK LIMITED

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: NO

FILED BY: CHANP4

FILED ON: 3/8/2017 8:49:42 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=1007123&appendChangeText=I+CHANGED&changeT... 1/1

# National Futures Association

Business Locations (3R)

Page 1

**Filed** April 12, 2017

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** BRIDGET PASTORELLE

**User ID** PASTORELLEB1

## Business Information

**Business Address** LEVEL 6
50 MARTIN PLACE
SYDNEY, NSW 2000
AUSTRALIA

**Phone Number** 61-2-8232-3333

**Fax Number** Not provided.

**E-mail Address** Not provided.

# National Futures Association

Business Locations (3R)

Page 2

Filed April 12, 2017

Registrant MACQUARIE BANK LIMITED

Submitted By BRIDGET PASTORELLE

OMB Numbers 3038-0023 and 3038-0072

NFA ID 0240934

User ID PASTORELLEB1

## Location of Business Records

Business Records Address

LEVEL 6

50 MARTIN PLACE

SYDNEY, NSW 2000

AUSTRALIA

U.S. Address for Production of Business Records

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE

125 W. 55TH STREET

NEW YORK, NY 10019

UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

**Filed** April 12, 2017

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** BRIDGET PASTORELLE

**User ID** PASTORELLEB1

## Contact Information

### Registration Contact

PAULINA CHAN  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-8096  
Fax: 212-231-1598  
E-mail: PAULINA.CHAN@MACQUARIE.COM

### Membership Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

### Accounting Contact

BRIDGET PASTORELLE  
COMPLIANCE ANALYST  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 4

**Filed** April 12, 2017

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** BRIDGET PASTORELLE

**User ID** PASTORELLEB1

## Arbitration Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Compliance Contact

MICHELLE BROOM  
CHIEF COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Exempt Foreign Firm Contact

ANDREW STEWART  
FUTURES DIVISION  
LEVEL 1, 50 MARTIN PLACE  
SYDNEY NSW 2000  
AUSTRALIA  
Phone: 612 8232 3088  
Fax: 612 8232 4412

# National Futures Association

Business Locations (3R)

Page 5

**Filed** April 12, 2017

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** BRIDGET PASTORELLE

**User ID** PASTORELLEB1

## Chief Compliance Officer

MICHELLE BROOM  
CHIEF COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-1598  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

AUGUSTINE WONG  
125 WEST 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1581  
E-mail: GUS.WONG@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 6

**Filed** April 12, 2017

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** BRIDGET PASTORELLE

**User ID** PASTORELLEB1

## Enforcement/Compliance Communication Contact

PAULINA CHAN  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-8096  
Fax: 212-231-1598  
E-mail: PAULINA.CHAN@MACQUARIE.COM

# National Futures Association

Business Locations (3R)

Page 7

**Filed** April 12, 2017

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

**Registrant** MACQUARIE BANK LIMITED

**NFA ID** 0240934

**Submitted By** BRIDGET PASTORELLE

**User ID** PASTORELLEB1

## 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

Page 1

| Filed | September 11, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOHN RUPPERT | User ID | RUPPERTJ1 |

---

## Business Information

| Business Address | LEVEL 6 50 MARTIN PLACE SYDNEY, NSW 2000 AUSTRALIA |
| --- | --- |
| Phone Number | 61-2-8232-3333 |
| Fax Number | Not provided. |
| E-mail Address | Not provided. |

---

# National Futures Association

Business Locations

Page 2

| Filed | September 11, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOHN RUPPERT | User ID | RUPPERTJ1 |

## Location of Business Records

### Business Records Address

LEVEL 6  
50 MARTIN PLACE  
SYDNEY, NSW 2000  
AUSTRALIA

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

MACQUARIE BANK LIMITED REPRESENTATIVE OFFICE  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES

# National Futures Association

Business Locations

Page 3

| Filed | September 11, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOHN RUPPERT | User ID | RUPPERTJ1 |

## Contact Information

### Registration Contact

JENNINE TAYLOR  
125 W. 55TH STREET  
LEVEL 23  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-0941  
E-mail: RMGREGISTRATION@MACQUARIE.COM

### Membership Contact

NICOLE SPAUR  
ONE ALLEN CENTER, 500 DALLAS  
LEVEL 31  
HOUSTON, TX 77002  
UNITED STATES  
Phone: 713-275-8926  
Fax: 713-275-8978  
E-mail: NICOLE.SPAUR@MACQUARIE.COM

### Accounting Contact

MARWA EL-ATRIBI  
125 W. 55TH STREET  
LEVEL 23  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1578  
Fax: 212-231-1598  
E-mail: MARWA.EL-ATRIBI@MACQUARIE.COM

# National Futures Association

Business Locations

Page 4

Filed September 11, 2019

OMB Numbers 3038-0023 and 3038-0072

Registrant MACQUARIE BANK LIMITED

NFA ID 0240934

Submitted By JOHN RUPPERT

User ID RUPPERTJ1

### Arbitration Contact

NICOLE SPAUR

ONE ALLEN CENTER, 500 DALLAS

LEVEL 31

HOUSTON, TX 77002

UNITED STATES

Phone: 713-275-8926

Fax: 713-275-8978

E-mail: NICOLE.SPAUR@MACQUARIE.COM

### Compliance Contact

NICOLE SPAUR

ONE ALLEN CENTER, 5 DALLAS

LEVEL 31

HOUSTON, TX 77002

UNITED STATES

Phone: 713-275-8926

Fax: 713-275-8978

E-mail: NICOLE.SPAUR@MACQUARIE.COM

### Exempt Foreign Firm Contact

ANDREW STEWART

FUTURES DIVISION

LEVEL 1, 50 MARTIN PLACE

SYDNEY NSW 2000

AUSTRALIA

Phone: 612 8232 3088

Fax: 612 8232 4412

# National Futures Association

Business Locations

Page 5

| Filed | September 11, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOHN RUPPERT | User ID | RUPPERTJ1 |

---

## Chief Compliance Officer

GUS WONG  
125 W. 55TH STREET  
LEVEL 23  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1581  
E-mail: GUS.WONG@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

AUGUSTINE WONG  
125 WEST 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1581  
E-mail: GUS.WONG@MACQUARIE.COM

## Enforcement/Compliance Communication Contact

MICHELLE BROOM  
COMPLIANCE OFFICER  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-1558  
Fax: 212-231-2030  
E-mail: MICHELLE.BROOM@MACQUARIE.COM

# National Futures Association

Business Locations

Page 6

| Filed | September 11, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOHN RUPPERT | User ID | RUPPERTJ1 |

---

## Enforcement/Compliance Communication Contact

PAULINA CHAN  
125 W. 55TH STREET  
NEW YORK, NY 10019  
UNITED STATES  
Phone: 212-231-8096  
Fax: 212-231-1598  
E-mail: PAULINA.CHAN@MACQUARIE.COM

# National Futures Association

Business Locations

Page 7

| Filed | September 11, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| --- | --- | --- | --- |
| Registrant | MACQUARIE BANK LIMITED | NFA ID | 0240934 |
| Submitted By | JOHN RUPPERT | User ID | RUPPERTJ1 |

---

## 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.

10/14/21, 10:42 AM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0240934 MACQUARIE BANK LIMITED

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

| FIRST NAME: | MICHELLE |
| --- | --- |
| LAST NAME: | BROOM |
| TITLE: | COMPLIANCE OFFICER |
| STREET ADDRESS 1: | 125 W. 55TH STREET |
| STREET ADDRESS 2: |  |
| STREET ADDRESS 3: |  |
| CITY: | NEW YORK |
| STATE: | NEW YORK |
| PROVINCE: |  |
| COUNTRY: | UNITED STATES |
| ZIP CODE: | 10019 |
| PHONE NUMBER: | 212-231-1558 |
| FAX NUMBER: | 212-231-2030 |
| E-MAIL ADDRESS: | MICHELLE.BROOM@MACQUARIE.COM |
| FILED BY: | PALUMBOK4 |
| FILED ON: | 10/7/2021 1:26:14 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=1363693&appendChangeText=DELETED&changeTyp... 1/1

10/14/21, 10:43 AM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0240934 MACQUARIE BANK LIMITED

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

| FIRST NAME: | AUGUSTINE |
| --- | --- |
| LAST NAME: | WONG |
| TITLE: |  |
| STREET ADDRESS 1: | 125 WEST 55TH STREET |
| STREET ADDRESS 2: |  |
| STREET ADDRESS 3: |  |
| CITY: | NEW YORK |
| STATE: | NEW YORK |
| PROVINCE: |  |
| COUNTRY: | UNITED STATES |
| ZIP CODE: | 10019 |
| PHONE NUMBER: | 212-231-1581 |
| FAX NUMBER: |  |
| E-MAIL ADDRESS: | GUS.WONG@MACQUARIE.COM |
| FILED BY: | PALUMBOK4 |
| FILED ON: | 10/7/2021 1:26:14 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=1363694&appendChangeText=DELETED&changeTyp... 1/1

10/14/21, 10:44 AM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0240934 MACQUARIE BANK LIMITED

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

| FIRST NAME: | PAULINA |
| --- | --- |
| LAST NAME: | CHAN |
| TITLE: |  |
| STREET ADDRESS 1: | 125 W. 55TH STREET |
| STREET ADDRESS 2: |  |
| STREET ADDRESS 3: |  |
| CITY: | NEW YORK |
| STATE: | NEW YORK |
| PROVINCE: |  |
| COUNTRY: | UNITED STATES |
| ZIP CODE: | 10019 |
| PHONE NUMBER: | 212-231-8096 |
| FAX NUMBER: | 212-231-1598 |
| E-MAIL ADDRESS: | PAULINA.CHAN@MACQUARIE.COM |
| FILED BY: | PALUMBOK4 |
| FILED ON: | 10/7/2021 1:26:14 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=1363695&appendChangeText=DELETED&changeTyp... 1/1

# Firm Business Locations

COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION

Filed on October 07, 2021

NFA ID 0240934 MACQUARIE BANK LIMITED
Submitted by KAREN PALUMBO (PALUMBOK4)

# Business Information

| Street Address 1 | LEVEL 6 |
| --- | --- |
| Street Address 2 | 50 MARTIN PLACE |
| City | SYDNEY |
| Province | NSW |
| Zip/Postal Code | 2000 |
| Country | AUSTRALIA |
| Phone Number | 61-2-8232-3333 |
| Fax Number | Not provided |
| Email | Not provided |
| Website/URL | Not provided |
| 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 07, 2021  
NFA ID 0240934 MACQUARIE BANK LIMITED---

## Exempt Foreign Firm Contact Information

### Exempt Foreign Firm Contact Address

| First Name | ANDREW |
| --- | --- |
| Last Name | STEWART |
| Street Address 1 | FUTURES DIVISION |
| Street Address 2 | LEVEL 1, 50 MARTIN PLACE |
| City | SYDNEY |
| Zip/Postal Code | NSW 2000 |
| Country | AUSTRALIA |
| Phone | 612 8232 3088 |
| Fax | 612 8232 4412 |
| Email | ANDREW.STEWART@MACQUARIE.COM |

---

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

Page 2 of 9

Business Locations Filed on October 07, 2021
NFA ID 0240934 MACQUARIE BANK LIMITED

# Location of Business Records

| Street Address 1 | LEVEL 6 |
| --- | --- |
| Street Address 2 | 50 MARTIN PLACE |
| City | SYDNEY |
| Province | NSW |
| Zip/Postal Code | 2000 |
| Country | AUSTRALIA |

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

Page 3 of 9

Business Locations Filed on October 07, 2021  
NFA ID 0240934 MACQUARIE BANK LIMITED---

## Registration Contact Information

| First Name | KAREN |
| --- | --- |
| Last Name | PALUMBO |
| Street Address 1 | 1301 RIVERPLACE BLVD L5 |
| City | JACKSONVILLE |
| State (United States only) | FLORIDA |
| Zip/Postal Code | 32207 |
| Country | UNITED STATES |
| Phone | 904-614-8227 |
| Email | RMGREGISTRATION@MACQUARIE.COM |

---

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

Page 4 of 9

Business Locations Filed on October 07, 2021  
NFA ID 0240934 MACQUARIE BANK LIMITED---

# Enforcement/Compliance Communication Contact Information

| First Name | ARMAND |
| --- | --- |
| Last Name | NAKKAB |
| Title | CHIEF COMPLIANCE OFFICER |
| Street Address 1 | 125 WEST 55TH STREET |
| Street Address 2 | L20 |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10019 |
| Country | UNITED STATES |
| Phone | 212-231-1206 |
| Email | ARI.NAKKAB@MACQUARIE.COM |

| First Name | NICOLE |
| --- | --- |
| Last Name | SPAUR |
| Title | MANAGING DIRECTOR |
| Street Address 1 | ONE ALLEN CENTER 500 DALLAS STREET |
| City | HOUSTON |
| State (United States only) | TEXAS |
| Zip/Postal Code | 77002 |
| Country | UNITED STATES |
| Phone | 731-275-8926 |
| Email | NICOLE.SPAUR@MACQUARIE.COM |

---

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

Page 5 of 9

Business Locations Filed on October 07, 2021  
NFA ID 0240934 MACQUARIE BANK LIMITED---

## Membership Contact Information

### Membership Contact

| First Name | NICOLE |
| --- | --- |
| Last Name | SPAUR |
| Street Address 1 | ONE ALLEN CENTER, 500 DALLAS |
| Street Address 2 | LEVEL 31 |
| City | HOUSTON |
| State (United States only) | TEXAS |
| Zip/Postal Code | 77002 |
| Country | UNITED STATES |
| Phone | 713-275-8926 |
| Fax | 713-275-8978 |
| Email | NICOLE.SPAUR@MACQUARIE.COM |

### Accounting Contact

| First Name | MARWA |
| --- | --- |
| Last Name | EL-ATRIBI |
| Street Address 1 | 125 W. 55TH STREET |
| Street Address 2 | LEVEL 23 |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10019 |
| Country | UNITED STATES |
| Phone | 212-231-1578 |
| Fax | 212-231-1598 |
| Email | MARWA.EL-ATRIBI@MACQUARIE.COM |

---

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

Page 6 of 9

Business Locations Filed on October 07, 2021  
NFA ID 0240934 MACQUARIE BANK LIMITED---

# Arbitration Contact

| First Name | NICOLE |
| --- | --- |
| Last Name | SPAUR |
| Street Address 1 | ONE ALLEN CENTER, 500 DALLAS |
| Street Address 2 | LEVEL 31 |
| City | HOUSTON |
| State (United States only) | TEXAS |
| Zip/Postal Code | 77002 |
| Country | UNITED STATES |
| Phone | 713-275-8926 |
| Fax | 713-275-8978 |
| Email | NICOLE.SPAUR@MACQUARIE.COM |

# Compliance Contact

| First Name | NICOLE |
| --- | --- |
| Last Name | SPAUR |
| Street Address 1 | ONE ALLEN CENTER, 5 DALLAS |
| Street Address 2 | LEVEL 31 |
| City | HOUSTON |
| State (United States only) | TEXAS |
| Zip/Postal Code | 77002 |
| Country | UNITED STATES |
| Phone | 713-275-8926 |
| Fax | 713-275-8978 |
| Email | NICOLE.SPAUR@MACQUARIE.COM |

---

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

Page 7 of 9

Business Locations Filed on October 07, 2021  
NFA ID 0240934 MACQUARIE BANK LIMITED---

# Chief Compliance Officer Contact

| First Name | ARMAND |
| --- | --- |
| Last Name | NAKKAB |
| Street Address 1 | 125 W. 55TH STREET |
| Street Address 2 | LEVEL 20 |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10019 |
| Country | UNITED STATES |
| Phone | 212-231-1206 |
| Email | ARI.NAKKAB@MACQUARIE.COM |

---

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

Page 8 of 9

Business Locations Filed on October 07, 2021  
NFA ID 0240934 MACQUARIE BANK LIMITED---

## 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

# Firm Regulatory Disclosure Matter Page

NATIONAL FUTURES ASSOCIATION

Filed on October 21, 2021

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted by JOHN RUPPERT (RUPPERTJ1)

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 NON-U.S. REGULATOR: AUSTRALIAN COMPETITION AND CONSUMER COMMISSION

Case Information

Case Number MR 238/16
Case Status FINAL
Date Resolved December 2016
Sanctions imposed
OTHER: PENALTY IMPOSED

Comments

Page 1 of 2

On 14 December 2016, the Australian Federal Court imposed a AUD$6 million penalty on Macquarie Bank Limited ('MBL') in respect of its admission that it engaged in eight instances of attempted cartel conduct in contravention of the Competition and Consumer Act 2010. The Australian Competition and Consumer Commission ('ACCC') alleged that on various dates in 2011, MBL sought to influence the ABS MYR Fixing Rated published on that day, and this attempted to contravene the cartel provisions of the Competition and Consumer Act 2010. Macquarie was not a submitting bank, however, it often initiated discussion between traders.

#### Supporting Documentation---

| Description | MACQUARIE BANK LIMITED - ACCC ALLEGATIONS PRESS RELEASE 11.25.2016 |
| --- | --- |
| File Name | ACCC Allegations Press Release.pdf |
| Description | MACQUARIE BANK LIMITED - ACCC FINAL DISPOSITION PRESS RELEASE 12.14.2016 |
| File Name | ACCC Final Disposition Press Release.pdf |

---

Page 2 of 2

# Disciplinary Information (Firm)  
COMMODITY FUTURES TRADING COMMISSION  
NATIONAL FUTURES ASSOCIATION---

Filed on April 14, 2022

Submitted by KAREN PALUMBO (PALUMBOK4)---

## 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.

THE FAILURE TO DISCLOSE A DISCIPLINARY MATTER EITHER IN AN APPLICATION OR AN UPDATE WILL RESULT IN THE IMPOSITION OF A LATE DISCLOSURE FEE IN ACCORDANCE WITH NFA REGISTRATION RULE 210(c).

Not every section applies to every applicant. Certain sections apply depending on the registration category or categories being applied for. The text above these sections explains who must complete the section.

### DEFINED TERMS

Words that are underlined in this form are either defined terms and have the meanings contained in the Definition of Terms section or links to the text of Commodity Exchange Act provisions, CFTC Regulations or NFA Rules.

### 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 Investigations or Legal (RIL) staff) 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 RIL 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

With some exceptions, which are described below in the Regulatory and Financial Disclosures sections, if any

---

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

Page 1 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED---

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 (800) 621-3570 or (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 derivatives industry. All criminal matters must be disclosed, even if a matter is unrelated to the derivatives 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 U.S. 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 awards or CFTC reparations matters unless the applicant or registrant has failed to pay an award related to a CFTC-related product or an order entered in a reparations matter.

Only adversary actions that a U.S. bankruptcy trustee 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 each matter that caused a 'Yes' answer, a Disclosure Matter Page (DMP), which is accessible using NFA's DMP Filing System, must be filed. In addition to the required DMP, other documents about the matter must be provided to NFA. If court documents are unavailable, a certified letter from the court verifying that must be sent to NFA. If documents other than court documents are unavailable, a written explanation for their unavailability must be provided. Electronic copies of the documents can be uploaded using NFA's DMP Filing System or documents may be sent to NFA by email to registration@nfa.futures.org, fax to (312) 559-3411 or mail to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, IL 60606.

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.

---

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

Page 2 of 14

Disciplinary Information (Individual) Filed on April 14, 2022
NFA ID 0240934 MACQUARIE BANK LIMITED

# 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 entity's stock; entitlement to vote or empowered to sell 10% or more of an entity's voting securities; contribution of 10% or more of an entity's capital; or entitlement to 10% or more of an entity'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 bankruptcy trustee by filing a complaint with a bankruptcy court or a district 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.

ENTITY: any person other than an individual.

ENTITY FLOOR TRADER: an applicant that files or registrant that filed a Form 7-R to apply for registration as a floor trader.

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.

FLOOR TRADER ORDER ENTERER: an individual responsible for entry of orders from an Entity Floor Trader's own account.

FOUND: subject to a determination that conduct or a rule violation has occurred. The term applies to dispositions

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

Page 3 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED

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.

INDIRECT OWNER: an individual who through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- is entitled to vote 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- is entitled to receive 10% or more of an entity's net profits; or
- has the power to exercise a controlling influence over an entity's activities that are subject to regulation by the Commission.

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

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

Page 4 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED

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.

NON-U.S. NATURAL PERSON: an individual who has not resided in the U.S. since reaching the age of 18 years.

OTHER NAME: For firms, including sole proprietors, any other name that the firm uses or has used in the past but not the name of any other legal entity that the firm 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.

OUTSIDE DIRECTOR: an individual who is director of an applicant or registrant and who:

- is not an officer or employee of the applicant or registrant;
- is not engaged in or have direct supervisory responsibility over persons engaged in the solicitation of
  - or acceptance of customers' orders or retail forex customers' orders;
  - funds, securities or property for participation in a commodity pool;
  - a client's or prospective client's discretionary account;
  - leverage customers' orders for leverage transactions;
  - or acceptance of a swap agreement; or
- does not regularly have access to the keeping, handling or processing of:
  - transactions involving "commodity interests", as that term is defined in CFTC Regulation 1.3;
  - customer funds, retail forex customer funds, leverage customer funds, foreign futures or foreign options secured amount, or adjusted net capital.

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

PRINCIPAL - means, with respect to an applicant, a registrant, or a person required to be registered under the Act:

(1) an individual who is:

- a sole proprietor of a sole proprietorship;
- a general partner of a partnership;
- a director, president, chief executive officer, chief operating officer, chief financial officer, or a person

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

Page 5 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED

in charge of a business unit, division or function subject to regulation by the Commission of a corporation, limited liability company or limited liability partnership;

- a manager, managing member or a member vested with the management authority for a limited liability company or limited liability partnership; or
- a chief compliance officer; or

(2) 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 an applicant or registrant's equity securities, other than non-voting securities;
- is entitled to vote 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- is entitled to receive 10% or more of an applicant or registrant's net profits; or
- has the power to exercise a controlling influence over an applicant or registrant's activities that are subject to regulation by the Commission; or

(3) an entity that:

- is a general partner of a partnership; or
- is the direct owner of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities; or

(4) an individual who or an entity that:

- has contributed 10% or more of an applicant or registrant's capital unless such capital contribution consists of subordinated debt contributed by:

- an unaffiliated bank insured by the Federal Deposit Insurance Corporation;
- an unaffiliated "foreign bank," as defined in 12 CFR 211.21(n) that currently operates an "office of a foreign bank," as defined in 12 CFR 211.21(t), which is licensed under 12 CFR 211.24(a);
- such office of an unaffiliated, licensed foreign bank; or
- an insurance company subject to regulation by any State, provided such debt is not guaranteed by an individual who or entity that is not a principal of the applicant or registrant.

For the purpose of answering Questions A, B, C, D, E, F, G, I and K of the Disciplinary Information sections in the Form 8-R, PRINCIPAL also means an individual described in (1), (2) or (4) above with respect to any entity whether or not the entity is an applicant, registrant, or a person required to be registered under the Act.

SELF-REGULATORY ORGANIZATION (SRO): a private, non-governmental organization authorized to set and enforce standards of 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:

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

Page 6 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED---

| 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 |

---

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

Page 7 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED

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

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

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

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

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

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

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

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

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

Page 8 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED

Question A

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

No

Question B

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

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

No

Question C

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

No

Even though you answered "No" to all of the above questions, would you like to provide a Criminal DMP?

No

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

Page 9 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED

# Disciplinary Information - 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.

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

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

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

- the allegations; and
- the final disposition.

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

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

Page 10 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED

Question D

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

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

No

Question E

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

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

Yes

Question F

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

No

Question G

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

No

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

Page 11 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED---

# Question H

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

No

# Question I

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

Yes

Will you be filing a Regulatory DMP with respect to a new matter?Yes

---

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

Page 12 of 14

Disciplinary Information (Individual) Filed on April 14, 2022
NFA ID 0240934 MACQUARIE BANK LIMITED

# Disciplinary Information - 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.

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

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

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

- the allegations; and
- the final disposition.

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

Question J

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

No

Even though you answered "No" to the above question, would you like to provide a Financial DMP? No

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

Page 13 of 14

Disciplinary Information (Individual) Filed on April 14, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED---

## 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 14 of 14

# Firm Regulatory Disclosure Matter Page

NATIONAL FUTURES ASSOCIATION

Filed on April 19, 2022

NFA ID 0240934 MACQUARIE BANK LIMITED

Submitted by KAREN PALUMBO (PALUMBOK4)

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

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

# Regulatory Case Information

Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION (ASIC)

Case Information

| Case Number | 22-078MR |
| --- | --- |
| Case Status | PENDING |
| Date Initiated | April 2022 |
| Sanctions imposed | Not provided |

# Comments

ASIC commenced civil penalty proceedings in the Federal Court of Australia against Macquarie Bank Limited ("MBL") for failing to adequately monitor and control transactions by third parties, such as financial advisers, on their customers' cash management accounts. These proceedings are in relation to a fraud that was carried out by a 3rd party adviser (a non-Macquarie employee) in connection with transactions by the adviser in the cash management accounts of some of MBL's clients in Australia. The adviser has been convicted of fraud and, after the adviser failed to compensate his clients, Macquarie reimbursed the affected 13 clients.

# Supporting Documentation

| Description | CONCISE STATEMENT |
| --- | --- |
| File Name | 22078mr20220404asicvmacquarieconcisestatement.pdf |

| Description | ORIGINATING PROCESS |
| --- | --- |
| File Name | 22078mr20220404asicvmacquarieoriginatingprocess.pdf |

Page 1 of 1

**Attachment 8:** `ScheduleBAdditionalitem14.pdf`

# **Schedule B of FORM SBSE-A**  
 **Section B - Item 14**

| Schedule B | Item 14 Record: 1 Additional Response | Data Point | Answer |
| --- | --- | --- | --- |
|  | II.14 i | Firm or Organization Name | Macquarie Group Limited |
|  | II.14 i | SEC File, CRD, NFA, IARD, UIC, and/or CIR Number (if any) |  |
|  | II.14 i | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 i | Effective Date | 11/13/2007 |
|  | II.14 i | Termination Date | n/a |
|  | II.14 i | Briefly describe the nature of the control or agreement (ITEM 14) | Macquarie Group Limited owns 100% of Macquarie B.H. Pty Limited, which owns 100% of Macquarie Bank Limited. |
| Schedule B | Item 14 Record: 2 Additional Response | Data Point | Answer |
|  | II.14 ii | Firm or Organization Name | Macquarie B.H. Pty Limited |
|  | II.14 ii | SEC File, CRD, NFA, IARD, UIC, and/or CIR Number (if any) |  |
|  | II.14 ii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 ii | Effective Date | 11/19/2007 |
|  | II.14 ii | Termination Date | n/a |
|  | II.14 ii | Briefly describe the nature of the control or agreement (ITEM 14) | Macquarie Group Limited owns 100% of Macquarie B.H. Pty Limited, which owns 100% of Macquarie Bank Limited. |
| Schedule B | Item 14 Record: 3 | Data Point | Answer |
|  | II.14 iii | Individual Name | Alexander, Harme, Harvey |
|  | II.14 iii | CRD, NFA, and/or IARD Number (if any) | NFA ID 0511120 |
|  | II.14 iii | Business Address (If applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 iii | Effective Date | 1/1/2018 |
|  | II.14 iii | Termination Date | n/a |
|  | II.14 iii | Briefly describe the nature of the control or agreement (ITEM 14) | Chief Financial Officer of Macquarie Bank Limited |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Alex Harvey joined Macquarie in August 1998. He currently is the Chief Financial Officer of Macquarie Group and also the Executive Chairman of Macquarie Group in Asia. Before being appointed CFO in November 2017, Alex was the Global Head of the Principal Transaction Group in Macquarie Capital and a member of Macquarie Capitals Management Committee. Alex was the first Chief Executive Officer of Macquarie operations in Asia where he was responsible for a business with more than 3,400 staff across 14 locations. Alex has more than 20 years experience in the financial services industry across Australia, Asia, Europe and the United States. In August 2015, Alex was appointed Chairman of the Police Citizens Youth Clubs NSW Board. Alex is also a Board member of High Resolves. Alex holds a Master of Commerce, Bachelor of Economics from Sydney University and is a member of the Institute of Chartered Accountants. |
|  | II.14 iii |  |  |
| Schedule B | Item 14 Record: 4 | Data Point | Answer |
|  | II.14 iii | Individual Name | Shemara Wikramanayake |
|  | II.14 iii | CRD, NFA, and/or IARD Number (if any) | NFA ID 0460609 |
|  | II.14 iii | Business Address (If applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 iii | Effective Date | 8/1/2018 |
|  | II.14 iii | Termination Date | n/a |
|  | II.14 iii | Briefly describe the nature of the control or agreement (ITEM 14) | Executive voting Director of Macquarie Bank Limited and Chief Executive Officer of Macquarie Group |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Shemara Wikramanayake has been Macquarie Group Managing Director and CEO since December 2018. Shemara joined Macquarie in 1987 in Macquarie Capital in Sydney. In her time at Macquarie, Shemara has earned in six countries and across several business lines, establishing and leading Macquarie's corporate advisory offices in New Zealand, Hong Kong and Malaysia, and the infrastructure funds management business in the US and Canada. Shemara has also served as Chair of the Macquarie Group Foundation. As Head of Macquarie Asset Management for 10 years before her appointment as CEO, Shemara led a team of 1,600 staff in 24 markets. Macquarie Asset Management grew to become a world-leading manager of infrastructure and real assets and a top 50 global public securities manager. In 2018, Shemara was appointed a Commissioner of the Global Commission on Adaptation, a World Bank-led initiative to accelerate climate adaptation action and create concrete solutions which enhance resilience. |
|  | II.14 iii |  |  |
| Schedule B | Item 14 Record: 5 | Data Point | Answer |
|  | II.14 v | Individual Name | Jillian, Rosemary, Broadbent |
|  | II.14 v | CRD, NFA, and/or IARD Number (if any) | NFA ID 0518914 |
|  | II.14 v | Business Address (If applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 v | Effective Date | 11 05 2018 |
|  | II.14 v | Termination Date | n/a |
|  | II.14 v | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Jillian Broadbent has extensive investment banking industry knowledge and markets expertise, including a deep knowledge of risk management and regulation in these areas. She also has considerable executive management and listed company board experience. Ms Broadbent spent 22 years at Bankers Trust Australia until 1998, initially as an economic strategist and then as executive director responsible for risk management and derivatives in foreign exchange, interest rates and commodities. |
|  | II.14 v |  | Ms Broadbent was also a Member of the Reserve Bank of Australia Board between 1998 and 2013 and has previously served as Chair of the Board of Clean Energy Finance Corporation (CEFC), and as a director of ASX Limited, SBS, Coca Cola Amatil Limited, Woodside Petroleum Limited, Qantas Airways Limited, Westfield Management Limited and Woolworths Group Limited. |
| Schedule B | Item 14 Record: 6 Additional Response | Data Point | Answer |

# **Schedule B of FORM SBSE-A**  
 **Section B - Item 14**

| Schedule B | Item 14 Record: 1 Additional Response | Data Point | Answer |
| --- | --- | --- | --- |
|  | II.14 vi | Individual Name | Philip, Matthew, Coffey |
|  | II.14 vi | CRD, NFA, and/or IARD Number (if any) | NFA ID 451249 |
|  | II.14 vi | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 vi | Effective Date | 08 28 2018 |
|  | II.14 vi | Termination Date | n/a |
|  | II.14 vi | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Phil Coffey served as the Deputy Chief Executive Officer (CEO) of Westpac Banking Corporation, from April 2014 until his retirement in May 2017. As the Deputy CEO, Mr Coffey had the responsibility of overseeing and supporting relationships with key stakeholders of Westpac including industry groups, regulators, customers and government. He was also responsible for the Group's Mergers & Acquisitions function. Prior to this role, Mr Coffey held a number of executive positions at Westpac beginning in December 2005, including Chief Financial Officer and Group Executive, Westpac Institutional Bank. He has successfully led operations based in Australia, New Zealand, the United States, the United Kingdom and Asia and has extensive experience in financial markets, funds management, balance sheet management and risk management. He began his career at the Reserve Bank of Australia and has also held executive positions at the AIDC Limited and Citigroup. |
|  | II.14 vi |  |  |
| Schedule B | Item 14 Record: 7 Additional Response | Data Point | Answer |
|  | II.14 vii | Individual Name | Michael, John, Coleman |
|  | II.14 vii | CRD, NFA, and/or IARD Number (if any) | NFA ID 454205 |
|  | II.14 vii | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 vii | Effective Date | 11 09 2012 |
|  | II.14 vii | Termination Date |  |
|  | II.14 vii | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | After a career as a senior audit partner with KPMG for 30 years, Michael Coleman has been a professional Non-Executive Director since 2011. He has significant experience in risk management, financial and regulatory reporting and corporate governance. Mr Coleman has been the Chairman of Bingo Industries Limited and ING Management Limited, a member of the Audit Committee of the Reserve Bank of Australia and a member of the Financial Reporting Council, including terms as Chairman and Deputy Chairman. During his time with KPMG, Mr Coleman was a financial services specialist, providing audit and advisory services to large banks, investment banks and fund managers. He was KPMG's inaugural National Managing Partner Assurance and Advisory from 1998 to 2002, National Managing Partner for Risk and Regulation from 2002 to 2010, and Regional Leader for Asia Pacific Quality and Risk Management from 2002 to 2011. |
|  | II.14 vii |  |  |
| Schedule B | Item 14 Record: 8 Additional Response | Data Point | Answer |
|  | II.14 viii | Individual Name | Rebecca, Joy, McGrath |
|  | II.14 viii | CRD, NFA, and/or IARD Number (if any) | NFA ID 0536543 |
|  | II.14 viii | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 viii | Effective Date | 01 20 2021 |
|  | II.14 viii | Termination Date | n/a |
|  | II.14 viii | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Rebecca McGrath is an experienced professional company director and Chairman, with substantial international business experience. She spent 25 years at BP plc from January 1989 through January 2011 where she held various executive positions, including Chief Financial Officer Australasia and served as a member of BP's Executive Management Board for Australia and New Zealand. Ms McGrath has served as a director of CSR Limited, Big Sky Credit Union and Incitec Pivot Ltd. and as Chairman of Kifinan Australia. She is a former member of the JP Morgan Advisory Council. She has attended executive management programmes at Harvard Business School, Cambridge University and MIT in Boston. |
|  | II.14 viii |  |  |
| Schedule B | Item 14 Record: 9 Additional Response | Data Point | Answer |
|  | II.14 ix | Individual Name | Michael, Roche |
|  | II.14 ix | CRD, NFA, and/or IARD Number (if any) | NFA ID 0536581 |
|  | II.14 ix | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 ix | Effective Date | 01 20 2021 |
|  | II.14 ix | Termination Date | n/a |
|  | II.14 ix | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Mike Roche has over 40 years' experience in the finance sector as a highly skilled and experienced provider of strategic, financial, mergers and acquisitions, and capital advice to major corporate, private equity and government clients. He held senior positions with AXA Australia as a qualified actuary and Capel Court/ANZ Capel Court. Mr Roche spent from January 1993 to January 2016 at Deutsche Bank and was Head of Mergers and Acquisitions (Australia and New Zealand) for 10 years where he advised on major takeovers, acquisitions, privatisations, and divestments. He stepped down as Deutsche Bank's Chairman of Mergers and Acquisitions (Australia and New Zealand) in 2016. He was a member of the Takeovers Panel for two terms from 2008 to 2014. |
|  | II.14 ix |  |  |
| Schedule B | Item 14 Record: 10 Additional Response | Data Point | Answer |
|  | II.14 x | Individual Name | Nicole, Gal, Sorbara |
|  | II.14 x | CRD, NFA, and/or IARD Number (if any) | NFA ID 0511090 |
|  | II.14 x | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 x | Effective Date | 01 01 2013 |

# **Schedule B of FORM SBSE-A**  
 **Section B - Item 14**

| Schedule B | Item 14 Record: 1 Additional Response | Data Point | Answer |
| --- | --- | --- | --- |
|  | II.14 x | Termination Date | n/a |
|  | II.14 x | Briefly describe the nature of the control or agreement (ITEM 14) | Global Chief Operating Officer of Macquarie Bank Limited |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Nicole Sorbara is a Chartered Accountant and has more than 25 years' experience in accounting and financial services. She joined Macquarie in 1996. Nicole is Group Head of Corporate Operations Group (COG) and Global Chief Operating Officer (COO) and has been on the Macquarie Group Executive Committee since 1 January 2013. She leads a global team of 4,000 people across 22 countries covering Digital Transformation & Data, Technology, Market Operations, Human Resources, Business Services, Business Improvement & Strategy, and Macquarie Group Foundation. |
|  | II.14 x |  |  |
| Schedule B | Item 14 Record: 11 Additional Response | Data Point | Answer |
|  | II.14 xi | Individual Name | Glenn, Robert, Stevens |
|  | II.14 xi | CRD, NFA, and/or IARD Number (if any) | NFA ID 0510224 |
|  | II.14 xi | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 xi | Effective Date | 11 01 2017 |
|  | II.14 xi | Termination Date | n/a |
|  | II.14 xi | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Glenn Stevens worked at the highest levels of the Reserve Bank of Australia (RBA) for 20 years, including holding the roles of Head of the Economic Analysis Department and Head of the International Department. As well as developing Australia's successful inflation targeting framework for monetary policy, he played a significant role in central banking internationally. Most recently, he was Governor of the Reserve Bank of Australia between 2006 and 2016. Mr Stevens has also made key contributions to a number of Australian and international boards and committees, including as chair of the Australian Council of Financial Regulators between 2006 and 2016, as a member of the Financial Stability Board and on a range of G20 committees. |
|  | II.14 xi |  |  |
| Schedule B | Item 14 Record: 12 Additional Response | Data Point | Answer |
|  | II.14 xii | Individual Name | Nicola, Mac Wakefield Evans |
|  | II.14 xii | CRD, NFA, and/or IARD Number (if any) | NFA ID 0474529 |
|  | II.14 xii | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 xii | Effective Date | 02 07 2014 |
|  | II.14 xii | Termination Date |  |
|  | II.14 xii | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Nicola Wakefield Evans is an experienced Non-Executive Director and corporate finance lawyer. As a lawyer, Nicola has significant Asia-Pacific experience and was a partner at King & Wood Mallesons (and its predecessor, Mallesons Stephen Jaques) for more than 20 years. Ms Wakefield Evans has particular expertise in the financial services, resources and energy, and infrastructure sectors. She held several key management positions at King & Wood Mallesons including Managing Partner International in Hong Kong and Managing Partner, Practice in Sydney. |
|  | II.14 xii |  |  |
| Schedule B | Item 14 Record: 13 Additional Response | Data Point | Answer |
|  | II.14 xiii | Individual Name | Peter, Hastings, Warne |
|  | II.14 xiii | CRD, NFA, and/or IARD Number (if any) | NFA ID 0454203 |
|  | II.14 xiii | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 xiii | Effective Date | 07 01 2007 |
|  | II.14 xiii | Termination Date | 05 09 2022 |
|  | II.14 xiii | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  |  | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Peter Warne has extensive knowledge of, and experience in, financial services and investment banking, through a number of senior roles at Bankers Trust Australia Limited, including as Head of its global Financial Markets Group from 1989 to 1999. Mr Warne was a Director of the Sydney Futures Exchange (SFE) from 1990 to 1999, then from 2000 to 2006. He served as Deputy Chairman of the SFE from 1995 to 1999. When the SFE merged with the Australian Securities Exchange (ASX Limited) in July 2006, he became a Director of ASX Limited, a position he held to 2020. Mr Warne has previously served as Chairman of ALE Property Group from 2003 to 2017. He was a Director of New South Wales Treasury Corporation from 2012 to 2020, where he served as interim Chairman from 2019 to 2020. |
|  | II.14 xiii |  |  |
| Schedule B | Item 14 Record: 14 Additional Response | Data Point | Answer |
|  | II.14 xiv | Individual Name | Stuart Green |
|  | II.14 xiv | CRD, NFA, and/or IARD Number (if any) | NFA ID 0541286 |
|  | II.14 xiv | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | II.14 xiv | Effective Date | 07 01 2021 |
|  | II.14 xiv | Termination Date | n/a |
|  | II.14 xiv | Briefly describe the nature of the control or agreement (ITEM 14) | CHIEF EXECUTIVE OFFICER OF MACQUARIE BANK LIMITED |

# **Schedule B of FORM SBSE-A**  
 **Section II - Item 14**

| Schedule B | Item 14 Record: 1 Additional Response | Data Point | Answer |
| --- | --- | --- | --- |
|  | ii.14 xiv | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Stuart joined Macquarie Group in 2001 and was appointed Group Treasurer in August 2013, a role he held until July 2021 when he was appointed the Chief Executive Officer of Macquarie Bank Limited. On joining Macquarie, Stuart worked in the Corporate & Asset Finance group, responsible for originating asset financing transactions for Macquarie. In 2002, Stuart assumed responsibility for investor relations for Macquarie's listed airport fund, Macquarie Airports, before moving to become Global Head of Investor Relations for Macquarie's portfolio of listed funds. In 2008 he was appointed Macquarie Group's Head of Corporate Communications and Investor Relations, responsible for managing the Group's relationships with investors and analysts. |
| Schedule B | Item 14 Record: 14 Additional Response | Data Point | Answer |
|  | ii.14 xv | Individual Name | Michelle Hinchliffe |
|  | ii.14 xv | CRD, NFA, and/or IARD Number (if any) | NFA ID 0547381 |
|  | ii.14 xv | Business Address (if applicable) (Street, City, State/Country, Zip + 4 Postal Code) | Level 6, 50 Martin Place, Sydney, Australia, 2000 |
|  | ii.14 xv | Effective Date | 2/28/2022 |
|  | ii.14 xv | Termination Date | n/a |
|  | ii.14 xv | Briefly describe the nature of the control or agreement (ITEM 14) | INDEPENDENT VOTING DIRECTOR |
|  | ii.14 xv | For ITEM 14 ONLY - If the control person is an individual not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service). | Michelle Hinchliffe has more than 35 years' professional experience within the financial services sector in the United Kingdom and Australia, with extensive experience in leading large global teams in the provision of external audit, internal audit and advisory services to clients across financial services. Michelle was Chair of Audit, KPMG UK from May 2019 to September 2021, a board member of KPMG UK from May 2019 to February 2022, and Head of Audit, KPMG UK from September 2017 to April 2019. Prior to this she was Global Lead Audit Partner for a global banking institution, and the Head of Financial Services for KPMG Australia, where she was also a member of the board. |

**Attachment 9:** `ScheduleB13BAdditional.pdf`

# **Schedule B of FORM SBSE-A  
Section II - Item 13B**

| Schedule B | Item 13B Record: 1 | Data Point | Answer |
| --- | --- | --- | --- |
|  | II.13B i | Firm or Organization Name | J.P. MORGAN SECURITIES LLC |
|  | II.13B i | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B i | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 383 MADISON AVENUE, NEW YORK NY 10179 |
|  | II.13B i | Effective Date | 12/13/2012 |
|  | II.13B i | Termination Date | n/a |
|  | II.13B i | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | clearing agent |
| Schedule B | Item 13B Record: 2 | Data Point | Answer |
|  | II.13B ii | Firm or Organization Name | Euroclear SA |
|  | II.13B ii | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B ii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Koning Albert II-Iaan 1, B-1210 Sint-Joost-ten-Node, Belgium |
|  | II.13B ii | Effective Date | 2/1/2020 |
|  | II.13B ii | Termination Date | n/a |
|  | II.13B ii | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | custodian |
| Schedule B | Item 13B Record: 3 | Data Point | Answer |
|  | II.13B iii | Firm or Organization Name | Euroclear Bank SA/NV |
|  | II.13B iii | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B iii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 1 Boulevard du Roi Albert II B-1210 Brussels, Belgium RPM Brussels 0429875591 |
|  | II.13B iii | Effective Date | 3/21/2003 |
|  | II.13B iii | Termination Date | n/a |
|  | II.13B iii | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | custodian |
| Schedule B | Item 13B Record: 4 | Data Point | Answer |
|  | II.13B iv | Firm or Organization Name | JPMorgan Bank Luxembourg SA |
|  | II.13B iv | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B iv | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 6, Route de Treves, L-2633 Senningerberg, Grand Duchy of Luxembourg |
|  | II.13B iv | Effective Date | 11/12/2018 |
|  | II.13B iv | Termination Date | n/a |
|  | II.13B iv | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | custodian |
| Schedule B | Item 13B Record: 5 | Data Point | Answer |
|  | II.13B v | Firm or Organization Name | JPMorgan Chase NA |
|  | II.13B v | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B v | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 383 Madison Avenue, New York, NY 10179 |
|  | II.13B v | Effective Date | 12/22/2020 |
|  | II.13B v | Termination Date | n/a |
|  | II.13B v | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | custodian |
| Schedule B | Item 13B Record: 6 | Data Point | Answer |
|  | II.13B vi | Firm or Organization Name | BGC BROKERS LP - (BGCO) |

# **Schedule B of FORM SBSE-A**  
 **Section II - Item 13B**

|  | II.13B vi | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
| --- | --- | --- | --- |
|  | II.13B vi | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | ONE CHURCHILL PLACE, CANARY WHARF, London, E14 5RD |
|  | II.13B vi | Effective Date | 5/28/2017 |
|  | II.13B vi | Termination Date | n/a |
|  | II.13B vi | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 7 | Data Point | Answer |
|  | II.13B vii | Firm or Organization Name | ICAP Equities Asia Limited |
|  | II.13B vii | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B vii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Unit 2902-2909, 29/F the Centre 99 Queen's Road Central HK |
|  | II.13B vii | Effective Date | 3/27/2015 |
|  | II.13B vii | Termination Date | n/a |
|  | II.13B vii | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 8 | Data Point | Answer |
|  | II.13B viii | Firm or Organization Name | TP ICAP MARKETS LIMITED (ICAPSECLO) |
|  | II.13B viii | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B viii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Level 2, 155 Bishopsgate, London, E2M 3TQ |
|  | II.13B viii | Effective Date | 1/11/2021 |
|  | II.13B viii | Termination Date | MM DD YYYY |
|  | II.13B viii | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 9 | Data Point | Answer |
|  | II.13B ix | Firm or Organization Name | KEPLER CAPITAL MARKETS SA |
|  | II.13B ix | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B ix | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Route de Crassier 11, 1262 Eysin, Switzerland |
|  | II.13B ix | Effective Date | 2/1/2015 |
|  | II.13B ix | Termination Date | n/a |
|  | II.13B ix | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 10 | Data Point | Answer |
|  | II.13B x | Firm or Organization Name | KYTE BROKING LIMITED (KBLM) |
|  | II.13B x | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B x | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Business Design Centre, 52 Upper Street, London N1 0QH |
|  | II.13B x | Effective Date | 11/2/2011 |
|  | II.13B x | Termination Date | n/a |
|  | II.13B x | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 11 | Data Point | Answer |
|  | II.13B xi | Firm or Organization Name | LOUIS CAPITAL MARKETS UK LLP (LOUI) |
|  | II.13B xi | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xi | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 4th Floor 130 Wood Street, London EC2V 6DL, UK |

# Schedule B of FORM SBSE-A

Section II - Item 13B

|  | II.13B xi | Effective Date | 4/15/2014 |
| --- | --- | --- | --- |
|  | II.13B xi | Termination Date | n/a |
|  | II.13B xi | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 12 | Data Point | Answer |
|  | II.13B xii | Firm or Organization Name | MARIANA CAPITAL MARKETS LLP |
|  | II.13B xii | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Spring Hill Farm, Keys Lane, Priors Marston, Warwickshire, CV47 7SA, UK |
|  | II.13B xii | Effective Date | 5/5/2014 |
|  | II.13B xii | Termination Date | n/a |
|  | II.13B xii | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 13 | Data Point | Answer |
|  | II.13B xiii | Firm or Organization Name | MARIANA UFP LLP |
|  | II.13B xiii | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xiii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 100 Cannon Street, London, EC4N 6EU, UK |
|  | II.13B xiii | Effective Date | 1/11/2018 |
|  | II.13B xiii | Termination Date | n/a |
|  | II.13B xiii | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 14 | Data Point | Answer |
|  | II.13B xiv | Firm or Organization Name | SQUARE GLOBAL MARKETS LLP |
|  | II.13B xiv | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xiv | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 175 Piccadilly, London, W1J 9EN, UK |
|  | II.13B xiv | Effective Date | 11/20/2014 |
|  | II.13B xiv | Termination Date | n/a |
|  | II.13B xiv | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 15 | Data Point | Answer |
|  | II.13B xv | Firm or Organization Name | SUNRISE BROKERS LLP |
|  | II.13B xv | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xv | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 6th Floor, 20 Triton Street, NW1 3BF, UK |
|  | II.13B xv | Effective Date | Sep-18 |
|  | II.13B xv | Termination Date | n/a |
|  | II.13B xv | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 16 | Data Point | Answer |
|  | II.13B xvi | Firm or Organization Name | TFS Derivatives LTD |
|  | II.13B xvi | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xvi | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 1st Floor, 15 St Botolph Street, London, EC3A 7QX, UK |
|  | II.13B xvi | Effective Date | 9/24/2007 |
|  | II.13B xvi | Termination Date | n/a |

# **Schedule B of FORM SBSE-A**  
 **Section II - Item 13B**

|  | II.13B xvi | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| --- | --- | --- | --- |
| Schedule B | Item 13B Record: 17 | Data Point | Answer |
|  | II.13B xvii | Firm or Organization Name | Tullett Prebon (securities) Limited |
|  | II.13B xvii | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xvii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 135 Bishopgate, London, EC2M 3TP, UK |
|  | II.13B xvii | Effective Date | 3/24/2009 |
|  | II.13B xvii | Termination Date | n/a |
|  | II.13B xvii | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 18 | Data Point | Answer |
|  | II.13B xviii | Firm or Organization Name | VANTAGE CAPITAL MARKETS HK |
|  | II.13B xviii | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xviii | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 25/F 100 QRC, 100 Queen's Road Central, Central, Hong Kong |
|  | II.13B xviii | Effective Date | 1/7/2009 |
|  | II.13B xviii | Termination Date | n/a |
|  | II.13B xviii | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 19 | Data Point | Answer |
|  | II.13B xix | Firm or Organization Name | Vantage Capital Markets London |
|  | II.13B xix | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xix | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 2nd Floor, 70 St Mary Axe, London, EC3A 8BE, UK |
|  | II.13B xix | Effective Date | unknown |
|  | II.13B xix | Termination Date | n/a |
|  | II.13B xix | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 20 | Data Point | Answer |
|  | II.13B xx | Firm or Organization Name | OTCEX HONG KONG LIMITED |
|  | II.13B xx | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xx | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | Unit 1-3, 31/F, Dah Sing Financial Centre, 248 Queen's Road East, Wan Chai, Hong Kong |
|  | II.13B xx | Effective Date | 1/27/2014 |
|  | II.13B xx | Termination Date | n/a |
|  | II.13B xx | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 21 | Data Point | Answer |
|  | II.13B xx | Firm or Organization Name | HPC SA |
|  | II.13B xx | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
|  | II.13B xx | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 22 rue des Capucines, Paris, France 75002 |
|  | II.13B xx | Effective Date | 11/26/2021 |
|  | II.13B xx | Termination Date | n/a |
|  | II.13B xx | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |
| Schedule B | Item 13B Record: 2 | Data Point | Answer |

# **Schedule B of FORM SBSE-A**

# **Section II - Item 13B**

| II.13B xx | Firm or Organization Name | Helix Securities LLP |
| --- | --- | --- |
| II.13B xx | SEC File, CRD, NFA, IARD, UIC, and/or CIK Number (if any) |  |
| II.13B xx | Business Address (Street, City, State/Country, Zip + 4 Postal Code) | 22 Manchester Square, London, W1U 3PT |
| II.13B xx | Effective Date | 12/9/2022 |
| II.13B xx | Termination Date | n/a |
| II.13B xx | Briefly describe the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B) | Inter-dealer execution broker |

**Attachment 10:** `March17AmendmentCoverNote.pdf`

# **Form SBSE-A Amendment**

**Filing Date: March 17, 2023**

# **Summary of Changes:**

1. Updated Schedule 13B to add new broker, Helix Securities LP.

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

### Applicant Information

**Full Applicant Name:** MACQUARIE BANK LTD

**NFA Number:** 240934

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

**CIK:** 0001257135

**UIC:** 4ZHCHI4KYZG2WVRT8631

**Main Address:** LEVEL 6, 50 MARTIN PLACE, SYDNEY, NEW SOUTH WALES, C3, 2000

**Mailing Address:** LEVEL 6, 50 MARTIN PLACE, SYDNEY, NEW SOUTH WALES, C3, 2000

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

**Contact Employee:**

- **Name:** Jeremy Chaplin

- **Title:** Senior Manager

- **Phone:** 904-728-9269

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

**Chief Compliance Officer:**

- **Name:** Armand Nakkab

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

- **Phone:** 212-231-1206

- **Email:** ari.nakkab@macquarie.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

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

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board

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

### Control and History

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

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

**Is control exercised through an agreement?:** Yes

**Is applicant financed by another entity?:** Yes

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

**Subject to foreign regulation?:** Yes

**Number of Principals:** 17

### Schedule A: Principals

| Name                       | Title or Status                                    | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| Jillian Rosemary Broadbent | INDEPENDENT VOTING DIRECTOR                        | 11/2018         | 11/2018              |  |       518914 |
| Philip Matthew Coffey      | INDEPENDENT VOTING DIRECTOR                        | 08/2018         | 08/2018              |  |       451249 |
| Michael John Coleman       | INDEPENDENT VOTING DIRECTOR                        | 11/2012         | 11/2012              |  |       454205 |
| Simon Gregory Roberts      | Head of a Business Unit, Division or Function      | 07/2013         | 10/2010              |  |       454080 |
| Alexander Harms Harvey     | Chief Financial Officer                            | 11/2017         | 08/1998              |  |       511120 |
| Rebecca Joy McGrath        | INDEPENDENT VOTING DIRECTOR                        | 01/2021         | 01/2021              |  |       536543 |
| Armand Nakkab              | Chief Compliance Officer                           | 11/2020         | 01/2020              |  |       242135 |
| Nicholas O'Kane            | Head of a Business Unit, Division or Function      | 04/2019         | 03/1995              |  |       452816 |
| Michael Roche              | INDEPENDENT VOTING DIRECTOR                        | 01/2021         | 01/2021              |  |       536581 |
| Nicole Gai Sorbara         | Chief Operating Officer                            | 01/2013         | 12/1996              |  |       511090 |
| Glenn Robert Stevens       | INDEPENDENT VOTING DIRECTOR                        | 11/2017         | 11/2017              |  |       510224 |
| Nicola Mai Wakefield Evans | INDEPENDENT VOTING DIRECTOR                        | 02/2014         | 02/2014              |  |       474529 |
| Shemara Wikramanayake      | CHIEF EXECUTIVE OFFICER OF MACQUARIE GROUP LIMITED | 08/2018         | 05/1987              |  |       460609 |
| Simon Lawrence Wright      | Head of a Business Unit, Division or Function      | 10/1997         | 07/1989              |  |       456278 |
| Stuart Green               | CHIEF EXECUTIVE OFFICER OF MACQUARIE BANK LIMITED  | 07/2021         | 08/2001              |  |       541286 |
| Michelle Hincliffe         | INDEPENDENT VOTING DIRECTOR                        | 02/2022         | 02/2022              |  |       547381 |
| Ian M Saines               | INDEPENDENT VOTING DIRECTOR                        | 06/2022         | 06/2022              |  |       549404 |

### Schedule B: Explanations

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

**Records Keeper:**

- **Name:** Microsoft Corporation

  - **Address:** One Microsoft Way, Redmond, WA, 98052

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

  - **Arrangement:** —

- **Name:** PageUp

  - **Address:** Level 10, 91 William St, Melbourne, C3, 3000

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

  - **Arrangement:** —

**Onbehalf:**

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

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

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

  - **Arrangement:** —

- **Name:** Euroclear SA

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

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

  - **Arrangement:** —

- **Name:** JPMorgan Bank Luxembourg SA

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

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

  - **Arrangement:** —

- **Name:** JPMorgan Chase NA

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

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

  - **Arrangement:** —

**Controlling Entity:**

- **Name:** Macquarie Group Limited

  - **Address:** Level 6, 50 Martin Place, Sydney, C3, 2000

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

  - **Arrangement:** —

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

  - **Address:** Level 6, 50 Martin Place, Sydney, C3, 2000

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

  - **Arrangement:** —

### Execution

**Date:** 03-16-2023

**Name of Applicant:** MACQUARIE BANK LTD

**Signature:** Armand Nakkab

**Printed Name:** Armand Nakkab

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