SBSE-A/A
0001012467
XXXXXXXX
true
false
291281
Citigroup Global Markets Ltd
00-0000000
291281
0001012467
XKZZ2JZF41MRHTR1V493
CITIGROUP CENTRE, CANADA SQUARE
CANARY WHARF
LONDON
X0
E14 5LB
212-559-1000
N/A
Mr
Michael
McClain
SVP, Compliance Product Director
447167306178
michael.mcclain@citi.com
Mr
David
Flowerday
Chief Compliance Officer
442075086939
david.flowerday@citi.com
Citigroup Global Markets Ltd
291281
Y
N
N
Y
Financial Conduct Authority
The applicant maintains policies and procedures in respect of Commission rules, including as it relates to substituted compliance.
Y
Swap Dealer
N
Citigroup Global Markets Limited CGML is a direct, wholly owned direct subsidiary of Citigroup Inc. CGML is incorporated in England and Wales, and is authorized by the Prudential Regulatory Authority and regulated by both the Financial Conduct Authority and Prudential Regulatory Authority as its primary regulators. CGMLs activities in respect of security-based swaps entails CGMLs Global Markets business within the Institutional Clients Group ICG segment of Citigroups operations. The Sales and Trading activity supporting Citis clients in respect of security-based swaps primarily sits in the Equities, Rates and Global Spread Products business lines.
N
N
N
Y
Y
Citigroup Global Markets Ltd
291281
Y
Y
Y
Y
N
Y
13
N
Citigroup Global Markets Ltd
291281
Mr
Andrew
John
Morton
Head of Business Unit
04/2020
04/2020
N
522954
Mr
David
Leonard
Flowerday
Chief Compliance Officer
03/2019
09/2006
N
519823
Mr
Deepak
Jain
Director
02/2020
02/2014
N
527216
Mr
Francisco
Fernandez
De Ybarra
Head of Business Unit
03/2013
01/2002
N
380240
Mr
James
David
Bardrick
Chief Executive Officer
09/2013
03/1987
N
468062
Mr
Leonardo
Arduini
Director
03/2016
12/2000
N
495776
Mr
Rahman
Ali
Khan
Head of Business Unit
08/2021
11/2008
N
540535
Mrs
Sally
Clark
Director
02/2021
02/2021
N
538968
Mr
Santo
Trombetta
Head of Business Unit
04/2020
04/2020
N
488977
Mr
William
Fall
Director
02/2021
02/2021
N
484489
Ms
Zoe
Wimborne
Director
05/2021
11/2020
N
515189
Mr
Jonathan
Moulds
Director(Application for association as Principal is pending
02/2021
02/2021
N
485735
Ms
Anne-Maree
Tassell
Director(Application for association as Principal is pending
09/2021
10/2019
N
543500
006006246
Citigroup Global Markets Ltd
291281
AMENDED
2138003EUVPJRRBEPW94
Financial Conduct Authority
CGMLs Global Markets sits within the Institutional Clients Group ICG segment of Citigroups operations. CGML acts as Citis international broker dealer serving its institutional and corporate clients. CGML has a major presence as a dealer, market maker and underwriter in fixed income, equities, and commodities markets. The company also provides advisory services to a wide range of corporate, institutional and government clients. CGMLs trading activities encompass cash, exchange traded and OTC derivative markets. CGMLs business is almost entirely wholesale in nature - its major counterparties are banks, investment firms, investment managers, insurers and hedge funds and it also has moderate trading exposure to corporates.
Item 13A
KPMG LLP
15 Canada Square
London,
X0
E14 5GL
02-12-2013
Item 13A
ZL Technologies Inc.
860 N. McCarthy Blvd, Milpita
Suite 100
Milpitas
CA
CA 95035
02-15-2018
Item 13B
Euroclear Bank SA/NV
1 Boulevard du Roi Albert II
Brussels
C9
B-1210
08-01-2016
Item 13B
The Bank of New York Mellon, London Branch
1 Canada Square
London
X0
E14 5AL
11-24-2008
Item 14
Citigroup Inc.
0000831001
388 Greenwich Street,
New York,
NY
NY 1001
10-08-1998
Item 15
Pipestone Investments LLC
Ugland House
South Church Street
Georgetown
E9
KY1-1104
06-19-2018
Item 15
Citicorp LLC
0001336397
388 Greenwich Street
New York
NY
NY10013
01-15-2018
Citigroup Global Markets Ltd
291281
Firm
Citigroup Global Markets Inc
388 Greenwich Street
New York
NY
NY 10013
Andrew Love
Andrew love
Legal Counsel
10-27-2021
Financial Conduct Authority
N/A
X0
Prudential Regulation Authority
N/A
X0
05-18-2022
Citigroup Global Markets Ltd
David Flowerday
David Flowerday
Chief Compliance Officer