Form SBSE-A/A Citigroup Global Markets

May 19, 2022 8:09 AM EDT

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    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
          E14 5LB
        
        212-559-1000
        N/A
        
          
            Mr
            Michael
            McClain
          
          SVP, Compliance Product Director
          447167306178
          [email protected]
        
        
          
            Mr
            David
            Flowerday
          
          Chief Compliance Officer
          442075086939
          [email protected]
        
      
      
        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
        13
        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
      
      
        
          Mr
          Deepak
          Jain
        
        Director
        02/2020
        02/2014
        N
        527216
      
      
        
          Mr
          Francisco
          Fernandez
          De Ybarra
        
        Head of Business Unit
        03/2013
        01/2002
        N
        380240
      
      
        
          Mr
          James
          David
          Bardrick
        
        Chief Executive Officer
        09/2013
        03/1987
        N
        468062
      
      
        
          Mr
          Leonardo
          Arduini
        
        Director
        03/2016
        12/2000
        N
        495776
      
      
        
          Mr
          Rahman
          Ali
          Khan
        
        Head of Business Unit
        08/2021
        11/2008
        N
        540535
      
      
        
          Mrs
          Sally
          Clark
        
        Director
        02/2021
        02/2021
        N
        538968
      
      
        
          Mr
          Santo
          Trombetta
        
        Head of Business Unit
        04/2020
        04/2020
        N
        488977
      
      
        
          Mr
          William
          Fall
        
        Director
        02/2021
        02/2021
        N
        484489
      
      
        
          Ms
          Zoe
          Wimborne
        
        Director
        05/2021
        11/2020
        N
        515189
      
      
        
          Mr
          Jonathan
          Moulds
        
        Director(Application for association as Principal is pending
        02/2021
        02/2021
        N
        485735
      
      
        
          Ms
          Anne-Maree
          Tassell
        
        Director(Application for association as Principal is pending
        09/2021
        10/2019
        N
        543500
        006006246
      
    
    
      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
          
          
            Item 13A
            ZL Technologies Inc.
            
              860 N. McCarthy Blvd, Milpita
              Suite 100
              Milpitas
              CA
              CA 95035
            
            02-15-2018
          
        
        
          
            Item 13B
            Euroclear Bank SA/NV
            
              1 Boulevard du Roi Albert II
              Brussels
              C9
              B-1210
            
            08-01-2016
          
          
            Item 13B
            The Bank of New York Mellon, London Branch
            
              1 Canada Square
              London
              X0
              E14 5AL
            
            11-24-2008
          
        
        
          
            Item 14
            Citigroup Inc.
            0000831001
            
              388 Greenwich Street,
              New York,
              NY
              NY 1001
            
            10-08-1998
          
        
        
          
            Item 15
            Pipestone Investments LLC
            
              Ugland House
              South Church Street
              Georgetown
              E9
              KY1-1104
            
            06-19-2018
          
          
            Item 15
            Citicorp LLC
            0001336397
            
              388 Greenwich Street
              New York
              NY
              NY10013
            
            01-15-2018
          
        
      
    
    
      Citigroup Global Markets Ltd
      291281
      
        Firm
        Citigroup Global Markets Inc
        
          388 Greenwich Street
          New York
          NY
          NY 10013
        
      
      Andrew Love
      Andrew love
      Legal Counsel
      10-27-2021
      
        Financial Conduct Authority
        N/A
        X0
      
      
        Prudential Regulation Authority
        N/A
        X0
      
    
    
      05-18-2022
      Citigroup Global Markets Ltd
      David Flowerday
      David Flowerday
      Chief Compliance Officer
    
  





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