schema version:

SBSE-A/A: Applicant Data - Page 1

FORM SBSE-A

Application for Registration as a Security-based
Swap Dealer and Major Security-based Swap
Participant that is Registered or Registering
with the CFTC as a Swap Dealer or Major Swap Participant

Date:� �� Applicant NFA Number:� 209452

OMB APPROVAL

OMB Number:��3235-AL05


Estimated average burden hours per response – initial: 34 hours


Estimated average burden hours per response – amendment: 1 hour


Estimated average additional burden hours for Schedule F – initial: 1.5 hours


Estimated average additional burden hours per response – amendment: 1.5 hours

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:

A. Full name of the applicant
BARCLAYS BANK PLC
B. IRS Empl. Ident. No.:
00-0000000
C. Applicant's NFA ID #:
209452
Applicant's CIK #:
0000312070
Applicant’s UIC # (if any):
G5GSEF7VJP5I7OUK5573
D. Applicant's Main Address: (Do not use a P.O. Box)
Street Address 1:
1 CHURCHILL PLACE
Street Address 2:
CANARY WHARF
City:
LONDON
State/Province/Country:
UNITED KINGDOM
Zip/ Postal Code:
E14 5HP
E. Mailing Address, if different:
Street Address 1:
Street Address 2:
City:
State/Province/Country:
Zip/ Postal Code:
F. Business Telephone Number:
0044-20-3555-4619
G. Website/URL:
H. Contact Employee:
Prefix:
First Name:
Mary Beth
Middle Name:
Last Name:
Coffey
Suffix:
Title:
Head of US Registrations
Phone:
212-412-3206
Email Address:
marybeth.coffey@barclays.com
I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k):
Prefix:
First Name:
Simon
Middle Name:
Last Name:
Thorn
Suffix:
Title:
Chief Compliance Officer - BBPLC
Phone:
44 (0)20 3555 4999
Email Address:
simon.p.thorn@barclays.com

SBSE-A/A: EXECUTION

EXECUTION:

The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.

The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.
Date
03-09-2022
Name of Applicant
BARCLAYS BANK PLC
By: Signature
Mary Beth Coffey
Name of Person Signing on Applicant's behalf
Mary Beth Coffey
Title of Person Signing on Applicant's behalf
Head of US Registrations

SBSE-A/A: Applicant Data - Page 2

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:� BARCLAYS BANK PLC
Date:� �� Applicant NFA No.:� 209452

2.

A. The applicant is registering as a security-based swap dealer: �Yes �No
B. The applicant is registering as a major security-based swap participant: �Yes �No

3.

A. Is the applicant a foreign security-based swap dealer that intends to:
  • work with the Commission and its primary regulator to have the Commission determine whether the requirements of its primary regulator's regulatory system are comparable to the Commission's
�Yes �No
  • avail itself of a previously granted substituted compliance determination
�Yes �No
with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder?
B. If "yes" to either of the questions in Item 3.A. above, identify the foreign financial regulatory authority that serves as the applicant's primary regulator and for which the Commission has made, or may make, a substituted compliance determination:
The Financial Conduct Authority & The Prudential Regulation Authority
C. If the applicant is relying on a previously granted substituted compliance determination, please describe how the applicant satisfies any conditions the Commission may have placed on such substituted compliance determination:
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.

4.

Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? �Yes �No

5.

A. The applicant is currently registered with the Commodity Futures Trading Commission as a: �Swap Dealer� �Major Swap Participant
B. The applicant is registering with the Commodity Futures Trading Commission as a: �Swap Dealer� �Major Swap Participant

6.

Is the applicant a U.S. branch of a non-resident entity? �Yes �No

7.

Briefly describe the applicant's business:
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.

8.

Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. �Yes �No
If "yes," identify the prudential regulator:
�The Federal Reserve Board
�The Office of the Comptroller of the Currency
�The Federal Deposit Insurance Corporation
�The Farm Credit Administration
�The Federal Housing Finance Agency

9.

Is the applicant registered with the Commission as an investment adviser? �Yes �No

10.

A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? �Yes �No

11.

Does applicant engage in any other non-securities, financial services industry-related business? �Yes �No

If "yes," describe each other business briefly on Schedule B, Section I.

12.

Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? �Yes �No

SBSE-A/A: Applicant Data - Page 3

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:� BARCLAYS BANK PLC
Date:� �� Applicant NFA No.:� 209452

13.

Does the applicant have any arrangement:
A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? �Yes �No
B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? �Yes �No

If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.

14.

Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? �Yes �No

If "yes," complete appropriate item on Schedule B, Section II.

15.

Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others. �Yes �No

If "yes," complete appropriate item on Schedule B, Section II.

16.

Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? �Yes �No

If "yes," complete appropriate items on Schedule B, Section Ill.

17.

Is the applicant registered with a foreign financial regulatory authority? �Yes �No

If "yes," list all such registrations on Schedule F, Page 1, Section II.

18.

The applicant has ___ principals who are individuals.
22

Please list all principals who are individuals on Schedule A.

19.

Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? �Yes �No

If "yes," complete appropriate item on Schedule B, Section IV.

SBSE-A/A: Schedule A of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:� BARCLAYS BANK PLC
Date:� �� Applicant NFA No.:� 209452

PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)

Use Schedule A to identify all principals of the applicant who are individuals.

Complete the "Title or Status" column by entering board/management titles; status as partner, trustee, sole proprietor, or shareholder; and for shareholders, the class of securities owned (if more than one is issued).

Ownership Codes are:

NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more
Schedule A Record: 1

FULL LEGAL NAME

Prefix
Individuals: Last Name
Thorn
Individuals: First Name
Simon
Individuals: Middle Name
Suffix
Title or Status
Chief Compliance Officer
Date Title or Status Acquired(MM/YYYY)
04/2020
Date Individual began working for applicant (MM/YYYY)
06/2012
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
See attached document for a description of investment-related experience for Mr. Thorn
Schedule A Record: 2

FULL LEGAL NAME

Prefix
Individuals: Last Name
Longmuir
Individuals: First Name
Andrew
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
06/2020
Date Individual began working for applicant (MM/YYYY)
11/2017
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
530135
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 3

FULL LEGAL NAME

Prefix
Individuals: Last Name
Bocresion
Individuals: First Name
Abib
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
01/2021
Date Individual began working for applicant (MM/YYYY)
03/2017
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
534053
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 4

FULL LEGAL NAME

Prefix
Individuals: Last Name
Khan
Individuals: First Name
Adeel
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
11/2016
Date Individual began working for applicant (MM/YYYY)
12/2008
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
500523
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 5

FULL LEGAL NAME

Prefix
Individuals: Last Name
Venkatakrishnan
Individuals: First Name
Coimbatore Sundararjan
Individuals: Middle Name
Suffix
Title or Status
CHIEF EXECUTIVE OFFICER
Date Title or Status Acquired(MM/YYYY)
11/2021
Date Individual began working for applicant (MM/YYYY)
03/2016
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
296017
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 6

FULL LEGAL NAME

Prefix
Individuals: Last Name
Schueneman
Individuals: First Name
Diane
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
07/2020
Date Individual began working for applicant (MM/YYYY)
06/2016
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
247442
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 7

FULL LEGAL NAME

Prefix
Individuals: Last Name
Francis
Individuals: First Name
Mary
Individuals: Middle Name
Elizabeth
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
07/2020
Date Individual began working for applicant (MM/YYYY)
10/2016
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
499781
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 8

FULL LEGAL NAME

Prefix
Individuals: Last Name
Lublinsky
Individuals: First Name
Michael
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
03/2018
Date Individual began working for applicant (MM/YYYY)
11/2017
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
267895
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 9

FULL LEGAL NAME

Prefix
Individuals: Last Name
Ashley
Individuals: First Name
Michael
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
07/2020
Date Individual began working for applicant (MM/YYYY)
09/2013
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
466920
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 10

FULL LEGAL NAME

Prefix
Individuals: Last Name
Higgins
Individuals: First Name
Nigel
Individuals: Middle Name
Paul
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
04/2019
Date Individual began working for applicant (MM/YYYY)
11/2018
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
520074
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 11

FULL LEGAL NAME

Prefix
Individuals: Last Name
Compton
Individuals: First Name
Paul
Individuals: Middle Name
Suffix
Title or Status
President
Date Title or Status Acquired(MM/YYYY)
07/2019
Date Individual began working for applicant (MM/YYYY)
05/2016
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
499224
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 12

FULL LEGAL NAME

Prefix
Individuals: Last Name
Leech
Individuals: First Name
Paul
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
10/2020
Date Individual began working for applicant (MM/YYYY)
01/2020
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
533238
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 13

FULL LEGAL NAME

Prefix
Individuals: Last Name
Eichel
Individuals: First Name
Scott
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
08/2019
Date Individual began working for applicant (MM/YYYY)
08/2018
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
523878
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 14

FULL LEGAL NAME

Prefix
Individuals: Last Name
Dainton
Individuals: First Name
Stephen
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
09/2017
Date Individual began working for applicant (MM/YYYY)
09/2017
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
508060
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 15

FULL LEGAL NAME

Prefix
Individuals: Last Name
Ewart
Individuals: First Name
Steven
Individuals: Middle Name
Suffix
Title or Status
Chief Financial Officer
Date Title or Status Acquired(MM/YYYY)
08/2018
Date Individual began working for applicant (MM/YYYY)
07/2004
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
514464
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 16

FULL LEGAL NAME

Prefix
Individuals: Last Name
Baker
Individuals: First Name
Stuart
Individuals: Middle Name
Suffix
Title or Status
Director/Chief Operating Officer
Date Title or Status Acquired(MM/YYYY)
11/2020
Date Individual began working for applicant (MM/YYYY)
05/2018
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
534251
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 17

FULL LEGAL NAME

Prefix
Individuals: Last Name
Breedon
Individuals: First Name
Timothy
Individuals: Middle Name
James
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
07/2020
Date Individual began working for applicant (MM/YYYY)
11/2012
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
452340
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 18

FULL LEGAL NAME

Prefix
Individuals: Last Name
Sandoz
Individuals: First Name
Todd
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
11/2020
Date Individual began working for applicant (MM/YYYY)
05/2018
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
533233
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 19

FULL LEGAL NAME

Prefix
Individuals: Last Name
Morzaria
Individuals: First Name
Tushar
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
07/2020
Date Individual began working for applicant (MM/YYYY)
10/2013
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
469682
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 20

FULL LEGAL NAME

Prefix
Individuals: Last Name
Fitzpatrick
Individuals: First Name
Dawn
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
09/2021
Date Individual began working for applicant (MM/YYYY)
09/2019
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
466149
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 21

FULL LEGAL NAME

Prefix
Individuals: Last Name
El-Erian
Individuals: First Name
Mohamed
Individuals: Middle Name
Suffix
Title or Status
Director
Date Title or Status Acquired(MM/YYYY)
09/2021
Date Individual began working for applicant (MM/YYYY)
01/2020
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
295754
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):
Schedule A Record: 22

FULL LEGAL NAME

Prefix
Individuals: Last Name
Mogavero
Individuals: First Name
Andrew
Individuals: Middle Name
Suffix
Title or Status
HEAD OF A BUSINESS UNIT DIVISION OR FUNCTION
Date Title or Status Acquired(MM/YYYY)
01/2022
Date Individual began working for applicant (MM/YYYY)
09/2008
Does person have an ownership interest in the applicant �Yes �No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
544613
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

SBSE-A/A: Schedule B of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:� BARCLAYS BANK PLC
Date:� �� Applicant NFA No.:� 209452

Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.

This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: �Initial�� �Amended

Section I

Other Business

Item 11: Does applicant engage in any other non-securities, financial services industry-related business?

UIC (if any), or other Unique Identification Number(s):
Assigning Regulator(s)/Entity(s):
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
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.

Section II

Record Maintenance Arrangements I Business Arrangements I Control Persons I Financings

(Check one) �Item 13A�� �Item 13B�� �Item 14�� �Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? �Firm�� �Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one) �Item 13A�� �Item 13B�� �Item 14�� �Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? �Firm�� �Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one) �Item 13A�� �Item 13B�� �Item 14�� �Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? �Firm�� �Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one) �Item 13A�� �Item 13B�� �Item 14�� �Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? �Firm�� �Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one) �Item 13A�� �Item 13B�� �Item 14�� �Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? �Firm�� �Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one) �Item 13A�� �Item 13B�� �Item 14�� �Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? �Firm�� �Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one) �Item 13A�� �Item 13B�� �Item 14�� �Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? �Firm�� �Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one) �Item 13A�� �Item 13B�� �Item 14�� �Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? �Firm�� �Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).
(Check one) �Item 13A�� �Item 13B�� �Item 14�� �Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? �Firm�� �Individual
Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15).

SBSE-A/A: SCHEDULE F of Form SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:� BARCLAYS BANK PLC
Date:� �� Applicant NFA No.:� 209452

Section I

Service of Process and Certification Regarding Access to Records

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person applicant designates and appoints as agent for service of process

Name
Barclays Capital, Inc.

B. Address of United States person applicant designates and appoints as agent for service of process

Street Address 1
745 7th Avenue
Street Address 2
City
New York
State
NEW YORK
Zip/Postal Code
10019

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in
(a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the applicant may have information; and
(b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

Applicant can as a matter of law, and will;
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.

Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240. 15Fb2-4].

Signature:
Matthew Danton
Name:
Matthew Danton
Title:
Director
Date:
03-09-2022

Section II

Registration with Foreign Financial Regulatory Authorities

Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

English Name of Foreign Financial Regulatory Authority
Office of the Superintendent of Financial Institutions (OSFI)
Foreign Registration No. (if any)
23970
English Name of Country:
CANADA (FEDERAL LEVEL)
English Name of Foreign Financial Regulatory Authority
Dubai Financial Services Authority
Foreign Registration No. (if any)
F000013
English Name of Country:
UNITED ARAB EMIRATES
English Name of Foreign Financial Regulatory Authority
Central Bank Of The UAE
Foreign Registration No. (if any)
13/71/2019
English Name of Country:
UNITED ARAB EMIRATES

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.



This regulatory filing also includes additional resources:
filing2.pdf
initfiling.pdf
filing3.pdf
filing4.pdf
filing5.pdf
filing6.pdf
filing7.pdf
filing8.pdf
filing9.pdf
filing10.pdf
filing11.pdf
filing12.pdf
filing15.pdf
filing16.pdf
filing17.pdf
filing18.pdf
filing19.pdf
filing20.pdf
filing21.pdf
filing22.pdf
filing23.pdf
filing24.pdf
filing28.pdf
filing29.pdf
filing30.pdf
filing31.pdf
filing32.pdf
filing35.pdf
filing36.pdf
filing37.pdf
filing38.pdf
filing39.pdf
filing40.pdf
filing43.pdf
filing44.pdf
filing45.pdf
filing47.pdf
13a13baddendum.pdf
Opinion.pdf
thornsim1.pdf
ScheduleF.pdf
filin13.pdf
filin14.pdf
filin25.pdf
filin26.pdf
filin27.pdf
filin33.pdf
filin34.pdf
filin41.pdf
filin42.pdf
filin46.pdf
filin47.pdf
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