SBSE-A/A 0001145665 XXXXXXXX true false 244282 SOCIETE GENERALE SA 52-1128875 244282 0001145665 O2RNE8IBXP4R0TD8PU41 17 COURS VALMY PARIS PARIS LA DEFENSE I0 92987 245 PARK AVENUE NEW YORK NY 10167 2122786000 https://wholesale.banking.societegenerale.com/en/ Sana Houari 442076766384 cple-swapdealer-world@sgcib.com Gregoire Simon-Barboux 00 33 1 42 13 12 22 Gregoire.Simon-Barboux@socgen.com SOCIETE GENERALE SA 244282 Y N N Y The French Autorite des Marches Financiers (AMF) and the Autorite de Controle Prudentiel et de Resolution (ACPR). For those areas where Societe Generale SA (SG SA) is relying on the SEC substituted compliance order for French security-based swap dealers (SBSD) dated July 23, 2021 (French Order), SG SA has, among other things, identified existing policies and procedures and/or obtained assurances from key stakeholders evidencing compliance with relevant French/EU laws. As required under general condition (9) of the French Order, SG SA has separately filed with the SEC a notice of intent to rely on the French Order that sets forth the SBSD rules for which SG SA intends to rely on substituted compliance. Y Swap Dealer N Societe Generale SA (SG SA) is a leading French-based financial services company. SG SA, through its worldwide network of branches and affiliates, engages in a number of core businesses including: - French Retail Banking, Private Banking & Insurance - Mobility, International Retail Banking & Financial Services, and - Global Banking and Investor Solutions (GBIS). GBIS involves a variety of wholesale banking activities including capital markets, advisory, transaction and payment, custodial services to corporate clients and financial institutions such as banks, insurance companies, pension funds, asset managers, financial sponsors and Sovereigns. The security-based swap dealing business of SG SA is conducted as part of GBIS. Y The Federal Reserve Board N N Y Y SOCIETE GENERALE SA 244282 Y Y N N N Y 22 N SOCIETE GENERALE SA 244282 Stephane Landon Group Chief Risk Officer 12/2022 07/1989 Y NA 537036 Gregoire Simon-Barboux Chief Compliance Officer 01/2021 09/1995 Y NA 536723 Alexandre Fleury Co-Global Head of GBIS 05/2023 06/2018 Y NA 532453 Christophe Bernard Lattuada Chief Operating Officer of GBIS 01/2022 09/2009 Y NA 497529 Slawomir Krupa Chief Executive Officer 05/2023 01/2002 Y NA 493911 Johan Praud Director 05/2021 11/2005 Y NA 543230 William Leon Alfred Connelly Chairman of the Board of Directors 05/2026 05/2017 Y NA 519751 Jerome Marie Contamine Director 05/2018 05/2018 Y NA 520793 Diane Cote Director 05/2018 05/2018 Y NA 520775 France Houssaye Director 05/2009 11/1989 Y NA 457015 Annette Hildegard Messemer Director 05/2020 05/2020 Y NA 531188 Henri Poupart-Lafarge Director 05/2021 05/2021 Y NA 543268 Sebastien Michel, Jacques, Marie Wetter Director 05/2021 10/1997 Y NA 543267 Hatem MUSTAPHA Head of Global Markets Activities 07/2026 10/2000 Y NA 504872 ULRIKA MARIA MAGARETA EKMAN DIRECTOR 05/2023 05/2023 Y NA 557768 BENOIT MARIE ROBERT DE RUFFRAY, DIRECTOR 05/2023 05/2023 Y NA 557520 Alain Arnaud Voiment Chief Technology Officer 11/2022 11/1991 Y NA 559684 Leopoldo Miguel ALVEAR TRENOR Chief Financial Officer 01/2025 01/2025 N 568105 INGRID HELEN ARNOLD DIRECTOR 05/2025 05/2025 Y NA 571551 OLIVIER JEAN KLEIN DIRECTOR 05/2025 05/2025 Y NA 571548 Laura Jane BARLOW Director 09/2025 09/2025 Y NA 573497 Clara Hedwig Frances Furse Director 05/2026 05/2026 Y NA 579054 SOCIETE GENERALE SA 244282 AMENDED The applicant, by itself and through its global framework of subsidiaries and branches, engages in a variety of non-securities, financial services industry-related businesses including commodities, banking, leasing and insurance. The applicant is also a CFTC/NFA registered swap dealer with the CFTC. Item 13A Global Relay Communications Inc. 549300WCLFVEBTBNRF76 220 Cambie Street 2nd Floor Vancouver Z4 V6B 2M9 03-27-2013 Global Relay Communications Inc. is used in and outside the United States as an e-communication repository. Item 13A I.P.C. Systems, Inc. 549300TGOKQLVVAO4O85 Harborside Financial Ctr 3 2nd St Plz 10 Jersey City NJ NJ 07311 08-05-2020 I.P.C. Systems Inc. is used for audio recording storage in the United States. Item 13A Iron Mountain Inc. SQL3F6CKNNBM3SQGHX24 1 Federal Street Boston MA MA 02110 03-01-2020 Iron Mountain Inc. is used in and outside the United States for hard copy storage. Item 13A Vanguard Archives, Inc. 3900 S. Michigan Ave Chicago IL 60653 11-24-2004 Vanguard Archives Inc. is used for hard copy storage in the United States. Item 13A R4 Services LLC n/a 1301 W. 35th Street Chicago IL 60609 02-21-2006 R4 Services LLC is used for hard copy storage in the United States. Item 13A Services Capital LLC (Ubistor) n/a 1111 Plaza Drive Schaumberg IL 60173 10-01-2019 Services Capital LLC (Ubistor) is used for electronic records back-up storage in the United States. Item 13A Microsoft Ireland Operations Limited 549300WCLFVEBTBNRF76 One Microsoft Place South County Business Park, Leopardstown Dublin L2 D18 P521 01-03-2021 Microsoft Azure is used in Europe and Asia as an e-communications repository. Item 13B BLOOMBERG SEF LLC 5493003IUYOH354SNS58 731 Lexington Avenue New York NY 10022 10-25-2013 SG SA utilises this entity for execution related-services. Item 13B ICE CLEAR CREDIT LLC T33OE4AS4QXXS2TT7X50 1 North End Avenue New York NY 10282 07-15-2011 SG SA utilises this entity to centrally clear its transactions Item 13B Clearstream Banking S.A. 549300OL514RA0SXJJ44 42 J F Kennedy Luxembourg N4 1855 10-29-1988 SG SA utilises this entity to custody SG SA's assets. Item 13B LCH Clearnet SA R1IO4YJ0O79SMWVCHB58 18 rue du Quatre Septembre Paris I0 75002 03-29-2010 SG SA utilises this entity to centrally clear its transactions. Item 13B AHORRO CORPORACION FINANCIERA S.V S.A. 95980020140005375141 Calle Ruiz de Alarcon 7 Madrid U3 28014 05-25-2011 SG SA utilises this entity for execution- related services. Item 13B ARIAN FINANCIAL LLP 21380097QNN7QGLDSR92 12 Appold Street London X0 EC2A 2AW 03-11-2011 SG SA utilises this entity for execution related-services. Item 13B BAY CREST PARTNERS LLC 549300CTRRO8C3BU3H64 40 Wall Street The Trump Building, 42nd Floor New York New York NY 10005 06-16-2014 SG SA utilises this entity for execution related-services. Item 13B BGC BROKERS L.P. ZWNFQ48RUL8VJZ2AIC12 5 Churchill Place Canary Wharf London X0 E14 5RD 01-10-2014 SG SA utilises this entity for execution related-services. Item 13B BGC DERIVATIVE MARKETS, L.P. 549300RKB6B4M8CD2W04 110 E 59th St New York NY 10022-1304 12-29-2016 SG SA utilises this entity for execution related-services. Item 13B BGC FINANCIAL LP 549300NP4MIDUNET0550 Seaport Plaza, 100 Water Street 19th floor New York NY 10038 12-01-2009 SG SA utilises this entity for execution related-services. Item 13B BGC INTERNATIONAL 549300B6Q534WULQZF41 5 Churchill Place Canary Wharf London X0 E14 5RD 01-05-1989 SG SA utilises this entity for execution related-services. Item 13B BLOOMBERG TRADING FACILITY B.V. 254900QBKK4WBSO3GE51 Gebouw Byzantium Stadhouderskade 14G Amsterdam P7 1054 ES 12-04-2010 SG SA utilises this entity for execution related-services. Item 13B BLOOMBERG TRADING FACILITY LIMITED 549300ROEJDDAXM6LU05 3 Queen Victoria Street London X0 EC4N 4TQ 12-04-2010 SG SA utilises this entity for execution related-services. Item 13B BROKERTEC AMERICAS LLC 213800U91OWU6L9YIT33 300 Vesey Street, 2nd Floor New York NY 10282 06-16-2016 SG SA utilises this entity for execution related-services. Item 13B CREDITEX LLC 549300MTPNQ2UHMICT12 875 Third Ave, 29th Floor New York NY 10022 03-07-2011 SG SA utilises this entity for execution related-services. Item 13B CREDITEX SECURITIES CORPORATION AC BROKER (CSCA) 549300OUQA5TQ2JW3I71 55 E 52nd St New York NY 10055-0005 11-16-2012 SG SA utilises this entity for execution related-services. Item 13B FGC SECURITIES LLC 549300QLWOQ3E4L0F403 11 Broadway, Suite 615 New York NY 10004 02-01-2015 SG SA utilises this entity for execution related-services. Item 13B FORTE SECURITIES LIMITED 213800TE1VETDDTPKN12 30 Great Pulteney Street London X0 W1F 9NN 01-06-2014 SG SA utilises this entity for execution related-services. Item 13B GFI (HK) SECURITIES LLC 549300WQXPFT04455X50 55 Water Street, 10th Floor New York NY 10041 05-22-2015 SG SA utilises this entity for execution related-services. Item 13B GFI BROKERS LTD 5493007S6O0HR48ATX36 Broadgate West 1 Snowden Street London X0 EC2A 2DQ 03-18-2013 SG SA utilises this entity for execution related-services. Item 13B GFI SECURITIES LTD GUNTJCA81C7IHNBGI392 1 Snowden Street London X0 EC2A 2DQ 12-21-2012 SG SA utilises this entity for execution related-services. Item 13B GFI SWAPS EXCHANGE LLC 549300U3YSKW7QY13Y70 55 Water Street New York NY 10041 11-01-2013 SG SA utilises this entity for execution related-services. Item 13B ICAP CORPORATES LLC 78E0W5ARMBFSS8K1Y274 Harborside Financial Center, 1100 Plaza 12th Floor Jersey City NJ 07311-4003 01-13-2015 SG SA utilises this entity for execution related-services. Item 13B KEPLER CHEUVREUX 9695005EOZG9X8IRJD84 116 Avenue Kleber Paris I0 75016 08-01-2019 SG SA utilises this entity for execution related-services. Item 13B KEPLER CHEUVREUX (SUISSE) SA 549300WZUJONCM3K3B32 Route de crassier 11 Geneva V8 CH-1262 10-25-2006 SG SA utilises this entity for execution related-services. Item 13B KYTE BROKING LIMITED - WEMATCH LIVE 55 Baker Street London X0 W1U 8EW 12-04-2020 SG SA utilises this entity for execution related-services. Item 13B KYTE BROKING LIMITED 1ZU7M6R6N6PXYJ6V0C83 55 Baker Street London X0 W1U 8EW 03-01-2014 SG SA utilises this entity for execution related-services. Item 13B LOUIS CAPITAL MARKETS UK LLP 213800KL2QZT2GQMQQ34 4, 130 Wood Street London X0 EC2V 6DL 12-21-2012 SG SA utilises this entity for execution related-services. Item 13B MARIANA UFP LLP 213800YRA1J9QFBMU217 100 Cannon Street London X0 EC4N 6EU 04-15-2013 SG SA utilises this entity for execution related-services. Item 13B MINT PARTNERS LIMITED A DIVISION OF BGC BROKERS LP 80 Canon Street London, 8th Floor London X0 EC4N 6HL 12-21-2012 SG SA utilises this entity for execution related-services. Item 13B OTCEX LLC 549300SFF7YEJGFVDC94 608 5th Avenue, Suite 602 New York NY 10020 09-25-2012 SG SA utilises this entity for execution related-services Item 13B OTCEX SA 969500UN3VAQBT5IME82 608 5th Avenue, Suite 602 New York NY 10020 09-25-2012 SG SA utilises this entity for execution related-services. Item 13B OTCX TRADING LIMITED 49 Queen Victoria Street London X0 EC4N 4SA 08-12-2016 SG SA utilises this entity for execution related-services. Item 13B SQUARE GLOBAL LIMITED 213800MR2O27473V4D51 175 Piccadily London X0 W1J 9EN 07-27-2015 SG SA utilises this entity for execution related-services. Item 13B SUNRISE BROKERS LLP 549300HFHGOLW672FG74 20 Triton Street, 6th Floor London X0 NW1 3BF 06-01-2014 SG SA utilises this entity for execution related-services. Item 13B TFS DERIVATIVES LLC NQYP83DP6ON3POK1RQ25 15 St Botolph Street London X0 EC3A 7QX 01-01-2013 SG SA utilises this entity for execution related-services. Item 13B TP ICAP GROUP SERVICES LTD 549300IVVSB5MBTQRT37 135 Bishopsgate London X0 EC2M 3TP 09-02-1991 SG SA utilises this entity for execution related-services. Item 13B TP ICAP MARKETS LIMITED 213800NMEZS3MD2IUP33 135 Bishopsgate London X0 EC2M 3TP 05-13-1993 SG SA utilises this entity for execution related-services. Item 13B TULLETT PREBON (DUBAI) LIMITED 549300UC2KZTPVNJQC52 Gate Village Building 1 Suite 107 & 108, Level 1, DIFC Dubai C0 506787 05-22-2014 SG SA utilises this entity for execution related-services. Item 13B TULLETT PREBON (SECURITIES) LIMITED 549300BMVW85YF9FGN67 25 Old Broad Street, Tower 42 Level 37 London X0 EC2N 1HQ 11-25-2013 SG SA utilises this entity for execution related-services. Item 13B TULLETT PREBON FIN SERV LLC 5493002MIGPVI71S2611 200 Vesey Street 5th Floor, 24th Floor New York NY 10281 07-03-2007 SG SA utilises this entity for execution related-services. Item 13B TRADEWEB EU B.V. 724500D4BFEWKWVC1G62 Strawinskylaan 4117 Amsterdam P7 1077 ZX 03-10-2012 SG SA utilises this entity for execution related-services. Item 13B TRADEWEB EUROPE LIMITED 2138001WXZQOPMPA3D50 1 Fore Street Avenue London X0 EC2Y 9DT 03-10-2012 SG SA utilises this entity for execution related-services. Item 13B TW SEF LLC 5493003NKIZWOQGS5U67 1177 Ave of Americas, Suite 3100 New York NY 10036 01-27-2014 SG SA utilises this entity for execution related-services. Item 13B VANTAGE CAPITAL MARKETS LLP 2138007ZHUXSGBB53N72 70 St Mary Axe London X0 EC3A 8BE 06-23-2014 SG SA utilises this entity for execution related-services. Item 13B WALLACHBETH CAPITAL, LLC 549300R371KUKXEXC133 Harborside Financial Center Plaza 5 185 Hudson Street, Suite 1410 Jersey Street NJ 07311 01-06-2010 SG SA utilises this entity for execution related-services. Item 13B THE LINK ASSET AND SECURITIES COMPANY LIMITED 21380041RFHPJWV7VH32 135 BISHOPSGATE London X0 EC2M 3TP 06-08-1998 SG SA utilises this entity for execution related-services. Item 13B Tradition (Asia) Limited 549300ER66BIX4KZD662 25th Floor; Entertainment Building 30 Queen's Road Central Hong Kong K3 999077 12-31-1997 SG SA utilises this entity for execution related-services. Item 13B MAKOR SECURITIES LONDON LTD 549300IQTYC8XXQ6C338 30 Panton Street London X0 SW1Y 4AJ 10-24-2011 SG SA utilises this entity for execution related-services. Item 13B SG SECURITIES (HK) LIMITED 549300X7ULDGXKFTX656 Level 38; Three Pacific Place 1 Queens Road East Hong Kong K3 Wan Chai 02-06-1998 SG SA utilises this entity for execution related-services. Item 13B GFI SECURITIES LLC UPPK3261S5D7DR01JY66 CO CORPORATION SERVICE COMPANY 80 STATE STREET ALBANY NY 12207-2543 09-07-2004 SG SA utilises this entity for execution related-services. Item 13B NEX SEF LIMITED 2138008LPQ92DIHKHY20 LONDON FRUIT AND WOOL EXCHANGE 1 DUVAL SQUARE London X0 E1 6PW 12-26-2017 09-27-2024 SG SA utilises this entity for execution related services. Item 13B Tullett Prebon Money Brokerage (Korea) Ltd. 988400JXAGWXF8N10P51 29, Eulji-ro, Jung-gu 6th Floor Douzone Eulji Tower Seoul M5 4523 06-02-2005 SG SA utilises this entity for execution related-services. Item 13B VANTAGE CAPITAL MARKETS HK LIMITED 549300CD7VYXUQLP3U85 25th Floor; 100QRC 100 Queen's Road Central Hong Kong K3 999077 11-07-2008 SG SA utilises this entity for execution related-services. Item 13B BANK OF AMERICA NA EQYXK86SF381Q21S3020 TWO PARK PLACE; HATCH STREET Dublin L2 D02 NP94 02-03-1993 SG SA utilises this entity for execution related-services. Item 13B TFS DERIVATIVES LIMITED 549300WXUYR1CMLDQF25 BEAUFORT HOUSE; 15 ST. BOTOLPH STREET London X0 EC3A 7QX 02-09-2015 SG SA utilises this entity for execution related-services Item 13B MARKET SECURITIES (FRANCE) SA 969500FWB6L4IMCWRO70 25 RUE BALZAC Paris I0 75008 09-27-2019 SG SA utilises this entity for execution related-services. Item 13B OTCEX HONG KONG LIMITED 254900L512BZ5BDTW614 Sunlight Tower; Unit 1-3, 31/F 248 Queen's Road East Hong Kong K3 999077 09-06-2010 SG SA utilises this entity for execution related-services. Item 13B SUNRISE BROKERS LLC 549300A1VKXI7EHI1O67 CO CORPORATION SERVICE COMPANY 251 LITTLE FALLS DRIVE WILMINGTON DE 19808 06-29-2010 SG SA utilises this entity for execution related-services. Item 13B KEY CAPITAL PARTNERS AGENCIA DE VALORES, S.A. 959800H9R31GYREXM142 PISO 3, CALLE SALUSTIANO OLOZAGA, 5 Madrid U3 28001 07-01-2010 SG SA utilises this entity for execution related-services. Item 13B ICAP SECURITIES HONG KONG LIMITED 213800D7KZL474UAPT09 20F, One Hennessy No. 1, Hennessy Road Hong Kong K3 999077 11-18-2005 SG SA utilises this entity for execution related-services. Item 13B TRADITION SECURITIES AND DERIVATIVES LLC WRYEFMSVQCH0EMD08461 28th floor, 32 Old Slip New York NY 10005 02-07-2019 SG SA utilises this entity for execution related-services. Item 13B ICE CLEAR EUROPE LIMITED 5R6J7JCQRIPQR1EEP713 Milton Gate, 60 Chiswell Street London X0 EC1Y 4SA 04-30-2010 10-31-2023 SG SA utilises this entity to centrally clear its transactions. Item 13B The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 240 Greenwich Street New York X0 10286 05-15-2022 SG SA utilises this entity to custody SG SA's assets. Item 13B The Bank Of New York Mellon S.A./N.V. MMYX0N4ZEZ13Z4XCG897 46 rue Montoyerstraat Brussels C9 B-1000 07-29-2019 SG SA utilises this entity to custody SG SA's assets. Item 13B J.P. Morgan Bank SE 549300ZK53CNGEEI6A29 6 route de Treves Senningerberg Grand Duchet du Luxembourg Senningerberg N4 L- 2633 10-29-2018 SG SA utilises this entity to custody SG SA's assets. Item 13B Euroclear Bank S.A. 549300OZ46BRLZ8Y6F65 1 Boulevard du Roi Albert II Brussels C9 1210 12-07-1984 SG SA utilises this entity to custody SG SA's assets. Item 13B TP ICAP SEF 5493008HL7YGILBYY124 200 Vesey St 5th Floor New York NY 10281 08-15-2020 SG SA utilises this entity for execution related-services. Item 13B WEMATCH US - SWAPS 9845004CA04V768BFF14 450 LEXINGTON AVENUE NEW YORK DE 10017 02-26-2025 SG SA utilises this entity for execution related-services Item 13B ICE SWAP TRADE LLC 549300MJXRX8C2XQEX97 55 East 52 street New York NY 10055 10-28-2013 SG SA utilises this entity for execution related-services. Item 13B GLMX 254900BL2EA4KCGB2338 330 Seventh Avenue 17th Floor New York NY 10001 08-10-2023 SG SA utilises this entity for execution related-services. Item 13B TRADITION SEF 549300MBO45EHETL4438 32 Old Slip 28th Floor New York NY 10005 01-11-2013 SG SA utilises this entity for execution related-services. SOCIETE GENERALE SA 244282 Firm Societe Generale Americas Securities LLC 245 PARK AVENUE New York NY 10167 Christophe Lattuada Christophe Lattuada GBIS Chief Operating Officer (COO) 04-14-2025 The French financial markets regulator (AMF) I0 The French prudential control and resolution authority I0 Financial Conduct Authority Firm Reference Number 124866 X0 Securities and Futures Commission (SFC) of Hong Kong CE Reference No AAL252 K3 The Italian Financial Regulatory Authority (CONSOB) L6 The Spanish National Securities Market Commission BE 108 U3 Monetary Authority of Singapore A7852 U0 The German Federal Financial Supervisory Authority - German BaFin BaFin-ID 10108265 2M The Japanese Financial Services Agency Kanto Zaimu Kyokucyou No 90 M0 The Polish Financial Supervision Authority (PFSA) KRS 0000099264 R9 Australian Prudential Regulation Authority (APRA) C3 Australian Securities & Investments Commission (ASIC) Australian Financial Services License Number 511956 C3 Austrian Financial Market Authority Bank Identification Number 18150 and Commercial Register Number 173546s C4 Hong Kong Monetary Authority AI Code 223856 K3 Reserve Bank of India Bom. 40 K7 Central Bank of Ireland C24676 L2 Bank of Italy Codice Meccanografico 3593 L6 Central bank of the Netherlands - De Nederlandsche Bank (DNB) DNB Registration Number B0532 P7 Bank of Korea M5 Swedish Financial Supervisory Authority FI Reference Number 11676 and Corporate Identification Number 516406-1052 V7 Swiss Financial Market Supervisory Authority - FINMA Registration No. CHE-105.273.103 V8 Financial Supervisory Commission (FSC) Unified Code 12278156 F5 Banking Bureau F5 Banking Regulatory and Supervisory Agency (BRSA) Firm Registration at Istanbul Trade Registry Office 259493 W8 Capital Markets Board of Turkey (CMB) W8 Dubai Financial Services Authority F000416 C0 Prudential Regulation Authority (PRA) X0 National Bank of Belgium C9 International Financial Services Centres Authority (IFSCA) K7 10-20-2026 SOCIETE GENERALE SA Gregoire Simon-Barboux Gregoire Simon-Barboux Chief Compliance Officer