SBSE-A/A 0001888657 XXXXXXXX true false 210678 DEUTSCHE BANK AG SBSD 13-2944988 210678 0001888657 TAUNUSANLAGE 12 FRANKFURT 2M 60325 1 COLUMBUS CIRCLE NEW YORK NY 10019-8201 212-250-2500 www.db.com Tatsiana Forker 212-250-3308 tatsiana.forker@db.com Mark Thomas Goulden 44(20)754-10596 mark.goulden@db.com DEUTSCHE BANK AG SBSD 210678 Y N N Y Bundesanstalt fur Finanzdienstleistungsaufsicht (BaFin) See attachment "Item_3C_Attachment_FINAL.pdf" for detailed narrative describing how DBAG satisfies conditions the Commission has placed on substituted compliance for DBAG as a German SBS entity. Y Swap Dealer N Deutsche Bank Aktiengesellschaft (DBAG) is a stock corporation organized under the laws of Germany registered in the Commercial Register of the District Court in Frankfurt am Main under registration number HRB 30 000. DBAG comprises the following four core operating divisions: Corporate Bank, Investment Bank, Private Bank, and Asset Management (DWS). The Investment Bank includes the firm's Origination and Advisory business, as well as its Fixed Income and Currencies (FIC) business, in which the majority of the firm's security based swap dealing activity resides. Y The Federal Reserve Board N N Y Y DEUTSCHE BANK AG SBSD 210678 Y Y N N N Y 14 N DEUTSCHE BANK AG SBSD 210678 Bernd Gunter Leukert Chief Technology, Data and Innovation Officer 01/2020 09/2019 Y NA 542962 Christian Sewing Chief Executive Officer 04/2018 12/1991 Y NA 486225 Gerd Alexander von zur Muehlen Chief Executive Officer, Asia Pacific 08/2020 09/1995 Y NA 533422 James Adam Mark von Moltke Chief Financial Officer 07/2017 07/2017 Y NA 506739 002661799 Ramachandra Nayak Head of Fixed Income & Currencies 07/2019 09/2009 Y NA 275157 Rebecca Anne Short Chief Transformation Officer 05/2021 02/1998 Y NA 541645 Fabrizio Campelli HEAD OF THE CORPORATE BANK AND INVESTMENT BANK, MEMBER OF TH 05/2021 08/2009 N NA 541581 Claudio De Sanctis Head of International Private Bank, Member of Mgmt Board 07/2023 12/2018 Y NA 557663 004505174 Mark Thomas Goulden Chief Compliance Officer 05/2024 11/2015 Y NA 469309 Laura Marcela Padovani Chief Compliance & AFC Officer, Member of the Mgmt Board 07/2024 04/2023 Y NA 1. Barclays Bank UK Plc., Group Chief Compliance Officer, 11/2017-03/2023 2. Barclays Bank UK Plc., Head of Global Compliance Services, 11/2015-11/2017 3. American Express, several senior roles in compliance, 10/2004-11/2015 Marcus Johannes Chromik Chief Risk Officer, Member of the Mgmt Board 05/2025 03/2025 Y NA 497291 Raja Jawad Akram Designated Chief Financial Officer, Member of the Mgmt Board 01/2026 10/2025 N 007225015 Stefan Hoops CEO of DWS, Member of the DB Mgmt Board 05/2026 09/2003 N 578742 005473802 Marie-Jeanne Cecile Deverdun Head of Technology, Data & Innovation; Management Board Mbr 05/2026 06/2010 N 577972 008266735 DEUTSCHE BANK AG SBSD 210678 INITIAL 7LTWFZYICNSX8D621K86 Bundesanstalt fur Finanzdienstleistungsaufsicht (BaFin) DBAG conducts Foreign Exchange spot dealing activities through both its Investment Bank and Corporate Bank. DBAG is a CFTC-registered swap dealer. DBAG also conducts certain financial services industry-related, non-securities business through its Corporate Bank division, which includes Cash Management, Trade Finance and Lending services, as well as Trust and Agency services. Through its subsidiaries, DBAG provides certain lending and deposit activities through its Private Bank division. Item 13A Ernst & Young GmbH Wirtschaftsprufungsgesellschaft Mergenthalerallee 3-5 Eschborn/Frankfurt (Main) 2M 65760 04-26-2021 Third-party audit firm Item 13B ICE Clear Credit LLC 1 North End Avenue New York NY 10282-1163 12-07-2013 Clearing house for DBAG SBS trades Item 13B ICE Clear Europe Limited Milton Gate 60 Chiswell Street London X0 EC1Y 4SA 12-06-2013 Clearing house for DBAG SBS trades Item 13B Japan Securities Clearing Corporation 2-1 Nihombashi-Kabuto-Cho Chuo Ku Tokyo M0 103-0026 11-08-2014 Clearing house for DBAG SBS trades Item 13B LCH Clearnet SA (or BANQUE CENTRALE DE COMPENSATION) 18 Rue Du 4 Septembre Paris I0 75002 05-17-2014 Clearing house for DBAG SBS trades Item 13B BGC Brokers LP, London 5 Churchill Place Canary Wharf London X0 E14 5RD 10-12-2013 Broker acts as a market intermediary facilitating the trading of security based swap trades between DB and other broker dealers on a name passing basis Item 13B BGC CAPITAL MARKETS (HONGKONG) LIMITED, HONGKONG Suites 6402-6408 64th Floor Two Intl Finance Centre No 8 Finance Str Hong Kong K3 CentralWst 10-23-2017 Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis Item 13B BGC Securities (Hong Kong) Wilmington Two International Finance Centre Suites 8 Finance Street Central District Hong Kong K3 CentralWst 03-13-2015 Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis Item 13B GFI BROKERS LTD 1 Snowden Street London X0 EC2A 2DQ 12-07-2013 Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis Item 13B T.F.S. DERIVATIVES HK LIMITED Level 24-25 Entertainment Building 30 Queens Road Central Hong Kong K3 CentralWst 12-06-2013 Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis Item 13B TRADITION (UK) LIMITED LONDON Beaufort House 15 St Botolph Street London X0 EC3A 7QX 01-23-2014 Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis Item 13B TULLETT PREBON (HONG KONG) LIMITED Suite 1001 10th Floor Citic Tower 1 Tim Mei Avenue Central Hong Kong K3 CentralWst 12-15-2012 Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis Item 13B TULLETT PREBON AMERICAS CORP 101 Hudson Street Jersey City NJ 07302-3908 02-12-2014 Broker acts as a market intermediary facilitating the trading of security-based swap trades between DB and other broker dealers on a name passing basis DEUTSCHE BANK AG SBSD 210678 Firm DB USA Corporation 1 Columbus Circle New York NY 10019 /s/ Anthony Stucchio Anthony Stucchio Head of TDI DCRO Americas and DBSI COO 10-26-2021 Bundesanstalt fur Finanzdienstleistungsaufsicht (BaFin) 2M European Central Bank 2M Bank of Thailand W1 Financial Conduct Authority (FCA) X0 Securities and Exchange Board of India K7 Financial Supervisory Service (FSS) M5 Monetary Authority of Singapore (MAS) U0 Securities and Futures Bureau (SFB) F5 Financial Services Agency M0 06-18-2026 DEUTSCHE BANK AG SBSD Tatsiana Forker Tatsiana Forker Vice President, Head of Swap Dealer and SBSD Compliance