SBSE-A: Filer Information
| Filer CIK | 0000842180 |
| Filer CCC |
**********
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| Is this a LIVE or TEST Filing? |  LIVE
TEST
|
| Would you like a Return Copy? |  |
Submission Contact Information | |
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |  |
| Notification E-mail Address |
SBSE-A: Applicant Data - Page 1
FORM SBSE-A
Application for Registration as a Security-based Date: Applicant NFA Number: 270454 |
|
INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:
| A. Full name of the applicant | BANCO BILBAO VIZCAYA ARGENTARIA, S.A. |
| B. IRS Empl. Ident. No.: | 00-0000000 |
| C. Applicant's NFA ID #: | 270454 |
Applicant's CIK #: | 0000842180 |
Applicant’s UIC # (if any): | K8MS7FD7N5Z2WQ51AZ71 |
| D. Applicant's Main Address: (Do not use a P.O. Box) | |
Street Address 1: | CALLE AZUL 4 |
Street Address 2: | |
City: | MADRID |
State/Province/Country: |
SPAIN
|
Zip/ Postal Code: | 28050 |
| E. Mailing Address, if different: | |
Street Address 1: | |
Street Address 2: | |
City: | |
State/Province/Country: | |
Zip/ Postal Code: | |
| F. Business Telephone Number: | 011 34 91 537 8172 |
| G. Website/URL: | bbva.com |
| H. Contact Employee: | |
Prefix: | |
First Name: | Samuel |
Middle Name: | |
Last Name: | Fein |
Suffix: | |
Title: | Head of Swap Dealer & Security-Based Swap Dealer Compliance |
Phone: | 212-728-1612 |
Email Address: | |
| I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k): | |
Prefix: | |
First Name: | Ana |
Middle Name: | |
Last Name: | Fernandez Manrique |
Suffix: | |
Title: | Global Head of Regulation & Internal Control |
Phone: | 011 34 629181485 |
Email Address: |
SBSE-A: EXECUTION
EXECUTION:
The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.
| Date | 06-20-2024 |
| Name of Applicant | BANCO BILBAO VIZCAYA ARGENTARIA, S.A. |
| By: Signature | Francisco Javier Rodriguez Soler |
| Name of Person Signing on Applicant's behalf | Francisco Javier Rodriguez Soler |
| Title of Person Signing on Applicant's behalf | Global Head of C&IB |
SBSE-A: Applicant Data - Page 2
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANCO BILBAO VIZCAYA ARGENTARIA, S.A.
Date:
Applicant NFA No.:
270454
2.
| A. The applicant is registering as a security-based swap dealer: |  Yes
No
|
| B. The applicant is registering as a major security-based swap participant: | Yes
No
|
3.
| A. Is the applicant a foreign security-based swap dealer that intends to: | |
| Yes
No
|
| Yes
No
|
| with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder? | |
| B. If "yes" to either of the questions in Item 3.A. above, identify the foreign financial regulatory authority that serves as the applicant's primary regulator and for which the Commission has made, or may make, a substituted compliance determination: | Spanish Securities Market Commission (Comision Nacional del Mercado de Valores, CNMV) |
| C. If the applicant is relying on a previously granted substituted compliance determination, please describe how the applicant satisfies any conditions the Commission may have placed on such substituted compliance determination: | BBVA SA has developed and implemented written policies and procedures reasonably designed to comply with all applicable terms, conditions, and limitations stated in the SEC's Order granting conditional substituted compliance for participants subject to regulation in Spain. |
4.
| Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? | Yes
No
|
5.
| A. The applicant is currently registered with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
| B. The applicant is registering with the Commodity Futures Trading Commission as a: | Swap Dealer
Major Swap Participant
|
6.
| Is the applicant a U.S. branch of a non-resident entity? | Yes
No
|
7.
| Briefly describe the applicant's business: | The Bank's purpose is to carry out all kinds of activities, operations, acts, contracts and services within the banking business or directly or indirectly related to it, which are permitted or not prohibited by the provisions in force and supplementary activities. Its corporate purpose also includes the acquisition, possession, use and disposal of securities, public offering of acquisition and sale of securities, as well as all types of holdings in any entity or company. |
8.
| Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. | Yes
No
|
If "yes," identify the prudential regulator: | The Federal Reserve Board The Office of the Comptroller of the Currency The Federal Deposit Insurance Corporation The Farm Credit Administration The Federal Housing Finance Agency
|
9.
| Is the applicant registered with the Commission as an investment adviser? | Yes
No
|
10.
| A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? | Yes
No
|
11.
| Does applicant engage in any other non-securities, financial services industry-related business? | Yes
No
|
If "yes," describe each other business briefly on Schedule B, Section I.
12.
| Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? | Yes
No
|
SBSE-A: Applicant Data - Page 3
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANCO BILBAO VIZCAYA ARGENTARIA, S.A.
Date:
Applicant NFA No.:
270454
13.
| Does the applicant have any arrangement: | |
| A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? | Yes
No
|
| B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? | Yes
No
|
If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.
14.
| Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
15.
| Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others. | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section II.
16.
| Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? | Yes
No
|
If "yes," complete appropriate items on Schedule B, Section Ill.
17.
| Is the applicant registered with a foreign financial regulatory authority? | Yes
No
|
If "yes," list all such registrations on Schedule F, Page 1, Section II.
18.
| The applicant has ___ principals who are individuals. | 31 |
Please list all principals who are individuals on Schedule A.
19.
| Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? | Yes
No
|
If "yes," complete appropriate item on Schedule B, Section IV.
SBSE-A: Schedule A of FORM SBSE-A
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANCO BILBAO VIZCAYA ARGENTARIA, S.A.
Date:
Applicant NFA No.:
270454
PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)
Use Schedule A to identify all principals of the applicant who are individuals.
Complete the "Title or Status" column by entering board/management titles;
status as partner, trustee, sole proprietor, or shareholder; and for shareholders,
the class of securities owned (if more than one is issued).
Ownership Codes are:
NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Torres Villa |
| Individuals: First Name | Carlos |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chair President |
| Date Title or Status Acquired(MM/YYYY) | 12/2018 |
| Date Individual began working for applicant (MM/YYYY) | 05/2015 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 491778 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Onur |
| Individuals: First Name | Genc |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Executive Officer |
| Date Title or Status Acquired(MM/YYYY) | 12/2018 |
| Date Individual began working for applicant (MM/YYYY) | 12/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 519143 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Dula |
| Individuals: First Name | Sonia |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2023 |
| Date Individual began working for applicant (MM/YYYY) | 03/2023 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 556536 |
| CRD No. | 001689972 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | de Parias Halcon |
| Individuals: First Name | Cristina |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2024 |
| Date Individual began working for applicant (MM/YYYY) | 03/2024 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 564219 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Casanueva Nardiz |
| Individuals: First Name | Enrique |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2024 |
| Date Individual began working for applicant (MM/YYYY) | 03/2024 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 564218 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Andres Torecillas |
| Individuals: First Name | Jose Miguel |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2015 |
| Date Individual began working for applicant (MM/YYYY) | 03/2015 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 487479 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Caruana Lacorte |
| Individuals: First Name | Jaime Felix |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2018 |
| Date Individual began working for applicant (MM/YYYY) | 03/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 514614 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Galamba de Oliveira |
| Individuals: First Name | Raul Catarino |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2020 |
| Date Individual began working for applicant (MM/YYYY) | 03/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 529923 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Garijo Lopez |
| Individuals: First Name | Belen |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2012 |
| Date Individual began working for applicant (MM/YYYY) | 03/2012 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 459813 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Hedegaard Koksbang |
| Individuals: First Name | Connie |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2022 |
| Date Individual began working for applicant (MM/YYYY) | 03/2022 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 549935 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Maiz Carro |
| Individuals: First Name | Lourdes |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2014 |
| Date Individual began working for applicant (MM/YYYY) | 03/2014 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 479578 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Peralta Moreno |
| Individuals: First Name | Ana Cristina |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2018 |
| Date Individual began working for applicant (MM/YYYY) | 03/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 514299 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Revenga Shanklin |
| Individuals: First Name | Ana Leonor |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2020 |
| Date Individual began working for applicant (MM/YYYY) | 03/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 530110 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Salazar Lomelin |
| Individuals: First Name | Carlos Vicente |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2020 |
| Date Individual began working for applicant (MM/YYYY) | 03/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 530376 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Verplancke |
| Individuals: First Name | Jan Paul Marie Francis |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Director |
| Date Title or Status Acquired(MM/YYYY) | 03/2018 |
| Date Individual began working for applicant (MM/YYYY) | 03/2018 |
| Does person have an ownership interest in the applicant | Yes
No
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 458445 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Perez Mies |
| Individuals: First Name | Rocio |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of Compliance |
| Date Title or Status Acquired(MM/YYYY) | 12/2020 |
| Date Individual began working for applicant (MM/YYYY) | 09/1993 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 536929 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Gomez Bravo |
| Individuals: First Name | Luisa |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Chief Financial Officer |
| Date Title or Status Acquired(MM/YYYY) | 09/2023 |
| Date Individual began working for applicant (MM/YYYY) | 01/1998 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 519652 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Gil Hernandez |
| Individuals: First Name | Regina |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of CIB USA |
| Date Title or Status Acquired(MM/YYYY) | 06/2023 |
| Date Individual began working for applicant (MM/YYYY) | 01/2004 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 488547 |
| CRD No. | 005774494 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Allano |
| Individuals: First Name | Nicolas Eugene |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of Global Equities |
| Date Title or Status Acquired(MM/YYYY) | 05/2022 |
| Date Individual began working for applicant (MM/YYYY) | 01/2020 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 549481 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Ordas Porras |
| Individuals: First Name | Jose Antonio |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of Global Markets |
| Date Title or Status Acquired(MM/YYYY) | 07/2017 |
| Date Individual began working for applicant (MM/YYYY) | 09/2004 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 459454 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Alarcon Gonzalez |
| Individuals: First Name | Luis Francisco |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of Global Credit and USA Global Products |
| Date Title or Status Acquired(MM/YYYY) | 01/2022 |
| Date Individual began working for applicant (MM/YYYY) | 11/2011 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 555782 |
| CRD No. | 007560286 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | de Matos Pereira Martins |
| Individuals: First Name | Luis Carlos |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of G10 Rates & FX |
| Date Title or Status Acquired(MM/YYYY) | 04/2019 |
| Date Individual began working for applicant (MM/YYYY) | 12/2008 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 509922 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Rodriguez Soler |
| Individuals: First Name | Francisco Javier |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Global Head of C&IB |
| Date Title or Status Acquired(MM/YYYY) | 09/2023 |
| Date Individual began working for applicant (MM/YYYY) | 07/2008 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 559744 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Piqueras Hernandez |
| Individuals: First Name | Maria de la Paloma |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of Regulation & Internal Control CIB |
| Date Title or Status Acquired(MM/YYYY) | 11/2022 |
| Date Individual began working for applicant (MM/YYYY) | 11/1990 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 553893 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Vila Freyer |
| Individuals: First Name | Roberto Elias |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of Global Sales & Structuring |
| Date Title or Status Acquired(MM/YYYY) | 05/2022 |
| Date Individual began working for applicant (MM/YYYY) | 09/2019 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 528012 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Steindl Balestra |
| Individuals: First Name | Javier |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of EM Rates and South America |
| Date Title or Status Acquired(MM/YYYY) | 05/2023 |
| Date Individual began working for applicant (MM/YYYY) | 01/2007 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 555140 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Crasny Zyman |
| Individuals: First Name | Diego |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | New York Branch General Manager and CFO CIB USA |
| Date Title or Status Acquired(MM/YYYY) | 03/2011 |
| Date Individual began working for applicant (MM/YYYY) | 09/2006 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 407337 |
| CRD No. | 005218291 |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Martin Sanchez |
| Individuals: First Name | Jaime |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of Engineering CIB |
| Date Title or Status Acquired(MM/YYYY) | 10/2023 |
| Date Individual began working for applicant (MM/YYYY) | 03/2001 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 549177 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Blanco Bergareche |
| Individuals: First Name | Javier Maria |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of Risk |
| Date Title or Status Acquired(MM/YYYY) | 03/2021 |
| Date Individual began working for applicant (MM/YYYY) | 07/1994 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 538893 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Borraz Peralta |
| Individuals: First Name | Antonio Joaquin |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of CIB Finance |
| Date Title or Status Acquired(MM/YYYY) | 08/2022 |
| Date Individual began working for applicant (MM/YYYY) | 11/1998 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 551751 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
FULL LEGAL NAME
| Prefix | |
| Individuals: Last Name | Navarro Gimeno |
| Individuals: First Name | Maria Angeles |
| Individuals: Middle Name | |
| Suffix | |
| Title or Status | Head of Talent & Culture CIB and Business Support |
| Date Title or Status Acquired(MM/YYYY) | 08/2022 |
| Date Individual began working for applicant (MM/YYYY) | 11/2011 |
| Does person have an ownership interest in the applicant | Yes
No
|
If yes, include ownership code | NA - less than 5% A - 5% but less than 10% B - 10% but less than 25% C - 25% but less than 50% D - 50% but less than 75% E - 75% or more
|
NFA Identification No., CRD No. and/or IARD No.
| NFA Identification No. | 551971 |
| CRD No. | |
| IARD No. | |
| For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service): |
SBSE-A: Schedule B of FORM SBSE-A
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANCO BILBAO VIZCAYA ARGENTARIA, S.A.
Date:
Applicant NFA No.:
270454
Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.
| This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: | Initial
Amended
|
Section I
Other Business
Item 11: Does applicant engage in any other non-securities, financial services industry-related business?
| UIC (if any), or other Unique Identification Number(s): | K8MS7FD7N5Z2WQ51AZ71 |
| Assigning Regulator(s)/Entity(s): | |
| Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged: | Banco Bilbao Vizcaya Argentaria, S.A (BBVA SA) is the parent company of the BBVA Group. BBVA SA is under direct supervision of the ECB under the Single Supervisory Mechanism. The BBVA Group s activity in Spain is mainly conducted through BBVA SA. The activity in Spain is based on the following business lines: Retail network, Corporate and Business banking, Corporate and Investment Banking (CIB) and Global Markets. Additionally, there are other units part of the group based in Spain, including the insurance company and mutual funds and pension funds. BBVA SA enjoys a solid leadership position in the Spanish market. |
Section II
Record Maintenance Arrangements I Business Arrangements I Control Persons I Financings
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Google (Gmail) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1600 Amphitheatre Parkway |
Street Address 2 | |
City | Mountain View |
State/Country |
CALIFORNIA
|
Zip + 4 Postal Code | 94043 |
| Effective Date MM DD YYYY | 01-01-2014 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Communication tool (global use). Gmail: electronic mail & Gmail: chat |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Smarsh |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 851 SW 6th Ave 800 |
Street Address 2 | |
City | Portland |
State/Country |
OREGON
|
Zip + 4 Postal Code | 97204 |
| Effective Date MM DD YYYY | 01-01-2014 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Smarsh is used for audio and written recording storage in the United States. Archives Gmail, GChat, Bloomberg mail, Bloomberg chat, LSEG chat, voice recording communication from New York IPC & cisco phone systems |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Iron Mountain Inc. |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 85 New Hampshire Avenue |
Street Address 2 | Suite 150 |
City | Portsmouth |
State/Country |
NEW HAMPSHIRE
|
Zip + 4 Postal Code | 03801 |
| Effective Date MM DD YYYY | 05-31-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Iron Mountain Inc. is used in the NY Branch shredding services of paper records, warehouse boxes in their storage and moving of selective electronic files from our network drives into a cloud storage. |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Recordia |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 17 State Street |
Street Address 2 | 40th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10004 |
| Effective Date MM DD YYYY | 12-14-2023 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Cell phone conversations in Madrid |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Cloud (ONSIM) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 86-90 Paul Street |
Street Address 2 | |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC2A 4NE |
| Effective Date MM DD YYYY | 01-10-2024 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Cell phone conversations in Germany, France and Italy |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Acadia |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 27 Bush Lane |
Street Address 2 | Cannon Green |
City | London |
State/Country |
UNITED KINGDOM
|
Zip + 4 Postal Code | EC4R 0AN |
| Effective Date MM DD YYYY | 09-01-2019 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | SaaS to do Initial Margin collateral and counterparty matching. It does online management of BBVA margin calls with counterparties |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Bloomberg LP |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 731 Lexington Avenue |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10022 |
| Effective Date MM DD YYYY | 11-23-2017 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Bloomberg provides archiving services for records that have been sent to or received from BBVA via the Bloomberg Terminal. Email (communications and confirmations). It also record Instant Messages and any other digital or electronic media that leads to execution |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Refinitiv (Reuters) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 28 Liberty Street |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10005 |
| Effective Date MM DD YYYY | 10-01-1999 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Refinitiv provides archiving services for records that have been sent to or received from BBVA Instant Messages and Chat rooms |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | TriOptima |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Fleminggatan 14 |
Street Address 2 | |
City | Stockholm |
State/Country |
SWEDEN
|
Zip + 4 Postal Code | 112 26 |
| Effective Date MM DD YYYY | 01-01-2012 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Portfolio Compression |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | FIN IQ (SOLAR) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 10 Collyer Quay |
Street Address 2 | #40-00, Ocean Financial Centre |
City | Singapore |
State/Country |
SINGAPORE
|
Zip + 4 Postal Code | 049315 |
| Effective Date MM DD YYYY | 01-11-2022 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | STW to do the pricing of equity derivative products, with tendency to cross asset class. Main application for Sales to receive client RFQs and set operations orchestrating pricing, booking and documentation workflow |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | FIN IQ (ePricer) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 10 Collyer Quay |
Street Address 2 | #40-00, Ocean Financial Centre |
City | Singapore |
State/Country |
SINGAPORE
|
Zip + 4 Postal Code | 049315 |
| Effective Date MM DD YYYY | 01-01-2021 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Single Dearer Website, SaaS developed by FinIQ, with annual licenses for BBVA and BBVA clients usage. Currently provides the ability for users to request prices for structured investments in Equity, Credit and Rate investment products as well as facilitates the Click and Trade workflow for some FX structured products |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BLOOMBERG SEF LLC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 731 Lexington Avenue |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10022 |
| Effective Date MM DD YYYY | 01-01-1990 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | CDS are executed in BBGSEF |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | LCH Ltd (Rates and FX) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 28 Liberty Street |
Street Address 2 | 58th Floor |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10005 |
| Effective Date MM DD YYYY | 01-08-2012 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Clearing |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Eurex Clearing AG |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Mergenthalerallee 61 |
Street Address 2 | |
City | Eschborn |
State/Country |
GERMANY
|
Zip + 4 Postal Code | 65760 |
| Effective Date MM DD YYYY | 11-23-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Clearing |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | BME Clearing |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Plaza de la Lealtad, 1 |
Street Address 2 | |
City | Madrid |
State/Country |
SPAIN
|
Zip + 4 Postal Code | 28014 |
| Effective Date MM DD YYYY | 01-21-2016 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Clearing |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CLEARSTREAM |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 42 Av. J-F Kennedy |
Street Address 2 | |
City | Ettelbruck |
State/Country |
LUXEMBOURG
|
Zip + 4 Postal Code | 9053 |
| Effective Date MM DD YYYY | 09-24-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EUROCLEAR |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 Boulevard Du Roi Albert II |
Street Address 2 | |
City | Brussels |
State/Country |
BELGIUM
|
Zip + 4 Postal Code | 1210 |
| Effective Date MM DD YYYY | 09-24-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Settlement |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | CHICAGO MERCANTILE EXCHANGE (CME) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 20 South Wacker Drive |
Street Address 2 | |
City | Chicago |
State/Country |
ILLINOIS
|
Zip + 4 Postal Code | 60606 |
| Effective Date MM DD YYYY | 08-13-2018 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | OTC derivatives Clearing |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | ICE Clear |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1 North End Avenue |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10282 |
| Effective Date MM DD YYYY | 02-27-2013 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Clearing |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | EuroCCP |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Strawinskylaan 1847 |
Street Address 2 | |
City | Amsterdam |
State/Country |
NETHERLANDS
|
Zip + 4 Postal Code | 1077 XX |
| Effective Date MM DD YYYY | 01-25-2016 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Clearing |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | 4Sigth |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1680 NJ-23 |
Street Address 2 | |
City | Wayne |
State/Country |
NEW JERSEY
|
Zip + 4 Postal Code | 07470 |
| Effective Date MM DD YYYY | 06-15-2022 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Software to manage security lendings and their collaterals |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Tradeweb |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 1177 Avenue of the Americas |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10036 |
| Effective Date MM DD YYYY | 09-20-2011 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Any other digital or electronic media that leads to trade execution |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | DTCC |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Water Street |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10041 |
| Effective Date MM DD YYYY | 01-03-2012 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Confirmation, termination, novation, amendment, assignment |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | S&P Global (Markit Wire) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Water Street |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10004 |
| Effective Date MM DD YYYY | 12-05-2022 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Confirmation, termination, novation, amendment, assignment |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | S&P Global (Cappitech) |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 55 Water Street |
Street Address 2 | |
City | New York |
State/Country |
NEW YORK
|
Zip + 4 Postal Code | 10004 |
| Effective Date MM DD YYYY | 12-05-2022 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Records of transactions executed on a DCM, At-execution data: USI, UPI, LEI; Date and time of execution, to nearest minute using UTC(GMT) & Data reported to a swap data repository, including date and time of report; real time reported data, including date and time of report |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | NICE Actimize |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | 221 River St |
Street Address 2 | 10th Floor |
City | Hoboken |
State/Country |
NEW JERSEY
|
Zip + 4 Postal Code | 07030 |
| Effective Date MM DD YYYY | 07-22-2016 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Provides real-time fraud prevention, AML detection, and trading surveillance solutions |
| (Check one) | Item 13A
Item 13B
Item 14
Item 15
|
Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.
| Firm or Organization Name | Fenergo |
| SEC File, CRD, NFA, lARD, UIC, and/or CIK Number (if any) | |
SEC File Number (if any) | |
CRD (if any) | |
NFA (if any) | |
IARD (if any) | |
UIC (if any) | |
CIK Number (if any) | |
| Business Address (Street, City, State/Country, Zip + 4 Postal Code) | |
Street Address 1 | Castleforbes House Mayor St |
Street Address 2 | Dublin 1 |
City | Dublin |
State/Country |
IRELAND
|
Zip + 4 Postal Code | D01 A8N0 |
| Effective Date MM DD YYYY | 12-09-2020 |
| Termination Date MM DD YYYY | |
| Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). | Client onboarding tool (global use) |
SBSE-A: SCHEDULE F of Form SBSE-A
FORM SBSE-A
Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant
Applicant Name:
BANCO BILBAO VIZCAYA ARGENTARIA, S.A.
Date:
Applicant NFA No.:
270454
Section I
Service of Process and Certification Regarding Access to Records
Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify
its United States agent for service of process and the certify that it can as a matter of law, and will -
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.
1. Service of Process:
A. Name of United States person applicant designates and appoints as agent for service of process
| Name | Banco Bilbao Vizcaya Argentaria,S.A. New York Branch |
B. Address of United States person applicant designates and appoints as agent for service of process
| Street Address 1 | 1345 Avenue of the Amercias |
| Street Address 2 | 44th Floor |
| City | New York |
| State |
NEW YORK
|
| Zip/Postal Code | 10105 |
The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in
(a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the
applicant may have information; and
(b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as
defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of
any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and
agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that
service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that
service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal
service thereof had been made.
2. Certification regarding access to records:
Applicant can as a matter of law, and will;
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.
Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with
paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR
240. 15Fb2-4].
| Signature: | Jaime Martin Sanchez |
| Name: | Jaime Martin Sanchez |
| Title: | Head of Engineering CIB |
| Date: | 06-20-2024 |
Section II
Registration with Foreign Financial Regulatory Authorities
Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:
| English Name of Foreign Financial Regulatory Authority | European Central Bank (ECB) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
GERMANY
|
| English Name of Foreign Financial Regulatory Authority | Spanish National Central Bank |
| Foreign Registration No. (if any) | |
| English Name of Country: |
SPAIN
|
| English Name of Foreign Financial Regulatory Authority | European Securities and Markets Authority (ESMA) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
FRANCE
|
| English Name of Foreign Financial Regulatory Authority | Spanish Securities Market Commission (Comision Nacional del Mercado de Valores, CNMV) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
SPAIN
|
| English Name of Foreign Financial Regulatory Authority | European Banking Authority (EBA) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
FRANCE
|
| English Name of Foreign Financial Regulatory Authority | Prudential Regulatory Authority (PRA) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
UNITED KINGDOM
|
| English Name of Foreign Financial Regulatory Authority | Bank of England (BoE) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
UNITED KINGDOM
|
| English Name of Foreign Financial Regulatory Authority | Financial Conduct Authority (FCA) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
UNITED KINGDOM
|
| English Name of Foreign Financial Regulatory Authority | Commission Bancaire, Financere Et Des Assurances (CBFA) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
BELGIUM
|
| English Name of Foreign Financial Regulatory Authority | Autorite De Controle Prudentiel Et De Resolution (ACPR) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
FRANCE
|
| English Name of Foreign Financial Regulatory Authority | Federal Financial Supervisory Authority (BaFin) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
GERMANY
|
| English Name of Foreign Financial Regulatory Authority | Banca D Italia |
| Foreign Registration No. (if any) | |
| English Name of Country: |
ITALY
|
| English Name of Foreign Financial Regulatory Authority | Banco De Portugal |
| Foreign Registration No. (if any) | |
| English Name of Country: |
PORTUGAL
|
| English Name of Foreign Financial Regulatory Authority | Financial Services Agency (FSA) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
JAPAN
|
| English Name of Foreign Financial Regulatory Authority | Hong Kong Monetary Authority (HKMA) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
CHINA
|
| English Name of Foreign Financial Regulatory Authority | Monetary Authority of Singapore (MAS) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
SINGAPORE
|
| English Name of Foreign Financial Regulatory Authority | China Banking Regulatory Commission (CBRC) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
CHINA
|
| English Name of Foreign Financial Regulatory Authority | Financial Supervisory Commission (FSC) |
| Foreign Registration No. (if any) | |
| English Name of Country: |
TAIWAN, PROVINCE OF CHINA
|
If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.