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 E145LB 44-20-7500-5500 N/A Mr Michael McClain 447167306178 michael.mcclain@citi.com Mr David Flowerday 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 15 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 Mrs Sally Clark Director 02/2021 02/2021 N 538968 Mr William Fall Director 02/2021 02/2021 N 484489 Mr Jonathan Moulds Director(Application for association as Principal is pending 02/2021 02/2021 N 485735 Mr Amit Anil Raja Director 09/2022 06/1998 N 551559 Mr Iain Plunkett Director 10/2022 10/2022 N NA 553314 Manjira Sen Gosain Director 05/2024 06/2023 N 556290 Tiina Le Seong Lee Chief Executive Officer 02/2024 10/2023 N 559796 Casper Wilhelm Von Koskull Director 01/2024 09/2023 N NA 520000 Nicola Kane Head of a Business Unit, Division or Function 10/2024 10/2024 N 515303 007992793 Paul Andrew Rayson Head of Business Unit, Division or Function 12/2024 12/2024 N 566652 006002668 Nikhil Joshi Head of Business Unit, Division or Function 04/2026 04/2026 N 577739 004972440 Gagandeep Singh Director 04/2026 03/2026 N 577102 Mr Silas John Findley Director 05/2026 05/2026 N 578461 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 Relationship in respect of books or records - auditors Item 13A ZL Technologies Inc. 860 N. McCarthy Blvd, Milpita Suite 100 Milpitas CA CA 95035 02-15-2018 Electronic communication records are transmitted by CGML to ZL Tech for storage Item 13B Euroclear Bank SA/NV 1 Boulevard du Roi Albert II Brussels C9 B-1210 08-01-2016 The organization provides margin custody services. Item 13B The Bank of New York Mellon, London Branch 1 Canada Square London X0 E14 5AL 11-24-2008 The organization provides margin custody services. Item 14 Citigroup Inc. 0000831001 388 Greenwich Street, New York, NY NY 1001 10-08-1998 CGML is an indirect wholly owned subsidiary of Citigroup, Inc Item 15 Pipestone Investments LLC Ugland House South Church Street Georgetown E9 KY1-1104 06-19-2018 Primarily long and short term debt from affiliates Item 15 Citicorp LLC 0001336397 388 Greenwich Street New York NY NY10013 01-15-2018 Primarily long and short term debt from affiliates Citigroup Global Markets Ltd 291281 Firm Citigroup Global Markets Inc 388 Greenwich Street New York NY NY 10013 Andrew Love Andrew love Legal Counsel 10-04-2023 Financial Conduct Authority N/A X0 Prudential Regulation Authority N/A X0 06-02-2026 Citigroup Global Markets Ltd David Flowerday David Flowerday Chief Compliance Officer