SBSE-A/A 0000312070 XXXXXXXX true false 209452 BARCLAYS BANK PLC 00-0000000 209452 0000312070 G5GSEF7VJP5I7OUK5573 1 CHURCHILL PLACE CANARY WHARF LONDON X0 E14 5HP 0044-20-3555-4619 Mary Beth Coffey 212-412-3206 marybeth.coffey@barclays.com Katherine Vetch 44 7345483326 katherine.vetch@barclays.com BARCLAYS BANK PLC 209452 Y N N Y The Financial Conduct Authority & The Prudential Regulation Authority Barclays Bank PLC has in place a robust compliance program tailored to the relevant rules and regulations under UK law that produce regulatory outcomes that are comparable to relevant requirements under the Exchange Act regarding risk control, reporting and notification rules, for which Barclays is relying on the UK substituted compliance determination. In addition, Barclays Bank PLC has implemented a compliance program to satisfy the requirements under the Exchange Act section 15F Security-based Swap Dealer Program, including the applicable conditions the Commission has placed on the substituted compliance determination that are new and in addition to existing UK law and regulations. Accordingly, with respect to each paragraph of the United Kingdom substituted compliance determination that Barclays Bank PLC intends to rely on, the applicable conditions have been addressed within both the existing UK regulatory compliance program and the Security-Based Swap Dealer Program. Y Swap Dealer N BBPLC is the non-ring-fenced bank of Barclays PLC and consists of our Corporate and Investment Banking division -comprised of Corporate Banking, Global Markets, Investment Banking and Research- and Consumer, Cards and Payments division -comprising US Consumer Bank, Barclays Payments, Consumer Bank Germany, and the Private Bank-. BBPLC is regulated by the PRA and FCA, amongst several other regulators globally including the CFTC and SEC within the United States. BBPLC is a diversified transatlantic, wholesale and consumer business. Y The Federal Reserve Board N N Y Y BARCLAYS BANK PLC 209452 Y Y Y Y N Y 23 N BARCLAYS BANK PLC 209452 Andrew Longmuir HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION 06/2020 11/2017 N NA 530135 Adeel Khan HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION 11/2016 12/2008 N NA 500523 Coimbatore Sundararjan Venkatakrishnan CHIEF EXECUTIVE OFFICER 11/2021 03/2016 N NA 296017 Mary Elizabeth Francis Director 07/2020 10/2016 N NA 499781 Nigel Paul Higgins Director 04/2019 11/2018 N NA 520074 Stephen Dainton President 09/2017 09/2017 N NA 508060 Stuart Baker Director/Chief Control Officer 11/2020 05/2018 N NA 534251 Dawn Fitzpatrick Director 09/2021 09/2019 N 466149 Andrew Mogavero HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION 01/2022 09/2008 N 544613 Anna Cross Director 04/2022 09/2013 N NA 549332 Robert Berry Director 02/2022 02/2022 N NA 268652 Menasey Marc Moses Director 01/2023 01/2023 N NA 555208 Julia Wilson Director 04/2023 04/2023 N NA 556465 Larisa Kvetnoy HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION 06/2023 06/2023 N NA 556890 Scott McDavid HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION 09/2023 08/2023 N NA 363790 Hossein Zaimi Global Head of Macro 05/2024 05/2024 N 447703 Brian Thomas Shea Director 07/2024 06/2024 N NA 457545 Mary Tabb Mack Director 06/2025 06/2025 N NA 375880 Katherine Vetch Chief Compliance Officer 10/2025 10/2025 N NA See attached Investment Related Experience Olivier Vigneron Chief Risk Officer 10/2025 10/2025 N 576931 Georges Lauchard Chief Operations Officer 10/2025 07/2022 N 576932 Chetan Rishi Vohra Global Head of Securitized Products 02/2026 02/2026 N NA 350476 004700100 Nikolaos Koukoumelidis Chief Financial Officer 04/2026 04/2026 N NA 578852 BARCLAYS BANK PLC 209452 INITIAL BBPLC operates the following financial services industry related non-securities businesses: Corporate Banking which provides working capital and transaction banking services, including trade and payments, for multinational corporates and institutions, and UK large and medium size corporate clients; Foreign exchange FX products; CFTC registered Swap Dealer; US Consumer Bank which provides co-brand consumer credit cards, lending and deposit accounts to US customers; Barclays Payments which is an issuing and acquiring business, providing payment solutions for consumers and merchants in the UK; Consumer Bank Germany which provides consumer lending products with a focus on instalment loans and the Private Bank which provides banking, credit and investment services to retail, high net worth and ultra-high net worth clients, family offices and businesses internationally. Item 13A Vodafone Vodafone House, The Connection Newbury, Berkshire X0 RG14 2FN 12-22-2009 Retain Books and Records Item 13A Truphone 25 Canada Square Canary Wharf London X0 E14 5LQ 07-23-2018 Retain Books and Records Item 13A Clausematch Limited WeWork 30 Churchill Place, Canary Wharf London X0 E14 5EU 11-01-2016 Retain Books and Records Item 13A Bloomberg 731 Lexington Avenue New York NY 10019 01-18-2011 Retain Books and Records Item 13B Ice Clear Europe Milton Gate 60 Chiswell Street London X0 EC1Y 4SA 06-06-2008 Clearing Item 13B LCH Ltd Aldgate House Aldgate High Street London X0 EC3N 1EA 08-20-1999 Clearing Item 13B Ice Clear Credit 353 North Clark Street Suite 3100 Chicago IL 60654 07-14-2011 Clearing Item 14 Barclays PLC 1 Churchill Place London X0 E14 5HP 10-12-2015 BARCLAYS PLC OWNS ALL OF THE ORDINARY SHARE CAPITAL OF BARCLAYS BANK PLC Item 15 Barclays PLC 1 Churchill Place London X0 E14 5HP 10-12-2015 BARCLAYS PLC OWNS ALL OF THE ORDINARY SHARE CAPITAL OF BARCLAYS BANK PLC BARCLAYS BANK PLC 209452 Firm Barclays Capital, Inc. 745 7th Avenue New York NY 10019 Jody Piccione Jody Piccione Director 08-25-2023 Office of the Superintendent of Financial Institutions (OSFI) 23970 Z4 Dubai Financial Services Authority F000013 C0 Central Bank Of The UAE 13/71/2019 C0 Cayman Islands Monetary Authority No Regulated Entity # E9 China Banking and Insurance Regulatory Commission 91310000783141239H F4 Securities and Futures Commission 1026167 F4 Gibraltar Financial Services Commission 122702 J1 Guernsey Financial Services Commission 10 Y7 Hong Kong Monetary Authority 1026167 K3 Reserve Bank Of India 1/90 K7 Securities And Exchange Board Of India INBI00000950 K7 Securities And Exchange Board Of India INM000002129 K7 Reserve Bank Of India BOM.43 K7 Isle Of Man Financial Services Authority 1047 Y8 Bank Of Israel 56-002575-1 L3 Japan Financial Services Agency 1075 M0 Jersey Financial Services Commission 8446 Y9 France ACPR 12448 O9 Monaco Commission for the Control of Financial Activities No Regulated Entity # O9 Monetary Authority Of Singapore S73Fc2302A U0 Swiss Financial Market Supervisory Authority FINMA None V8 07-27-2026 BARCLAYS BANK PLC Mary Beth Coffey Mary Beth Coffey VP - US Registrations