Amendment to an Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants That Are Registered or Registering With the Commodity Futures Trading Commission As a Swap Dealer or Major Swap Participant (sbse-a/a)
24 6월 2023 - 12:32AM
Edgar (US Regulatory)
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:
225050 |
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 | CANADIAN IMPERIAL BANK OF COMMERCE /CAN/ |
|
B. IRS Empl. Ident. No.:
| 00-0000000 |
|
C. Applicant's NFA ID #:
| 225050 |
Applicant's CIK #:
| 0001045520 |
Applicant’s UIC # (if any):
| 2IGI19DL77OX0HC3ZE78 |
|
D. Applicant's Main Address:
(Do not use a P.O. Box)
| |
Street Address 1: | 81 BAY STREET |
Street Address 2: | CIBC SQUARE |
City: | TORONTO |
State/Province/Country: |
ONTARIO, CANADA
|
Zip/ Postal Code: | M5J 0E7 |
|
E. Mailing Address, if different:
| |
Street Address 1: | |
Street Address 2: | |
City: | |
State/Province/Country: | |
Zip/ Postal Code: | |
|
F. Business Telephone Number:
| 4169803096 |
|
G. Website/URL:
| |
|
H. Contact Employee:
| |
Prefix:
| |
First Name:
| ANDREW |
Middle Name:
| |
Last Name:
| ROSS |
Suffix:
| |
Title:
| EXECUTIVE DIRECTOR |
Phone:
| 2126674539 |
Email Address:
| ANDREW.ROSSII@CIBC.COM |
|
I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k):
| |
Prefix:
| |
First Name:
| WILLIAM |
Middle Name:
| |
Last Name:
| MEEHAN |
Suffix:
| |
Title:
| SWAP DEALER CHEIF COMPLIANCE OFFICER |
Phone:
| 2126674556 |
Email Address:
| WILLIAM.MEEHAN@CIBC.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
| 06-12-2023 |
|
Name of Applicant
| CANADIAN IMPERIAL BANK OF COMMERCE /CAN/ |
|
By: Signature
| William Meehan |
|
Name of Person Signing on Applicant's behalf
| William Meehan |
|
Title of Person Signing on Applicant's behalf
| Swap Dealer Chief Compliance Officer |
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:
CANADIAN IMPERIAL BANK OF COMMERCE /CAN/
Date:
Applicant NFA No.:
225050
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:
| Office of the Superintendent of Financial Institutions (OSFI) |
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:
| Canadian Imperial Bank of Commerce is a leading North American financial institution operating across Personal and Business Banking, Commercial Banking and Wealth Management, and Capital Markets businesses, with 44,000 employees the Bank provides a full range of financial products and services to 10 million personal banking, business, public sector and institutional clients in globally. Business units include Canadian Personal and Business Banking, Canadian Commercial Banking and Wealth Management, U.S. Commercial Banking and Wealth Management, and Capital Markets. |
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:
CANADIAN IMPERIAL BANK OF COMMERCE /CAN/
Date:
Applicant NFA No.:
225050
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.
| 19 |
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:
CANADIAN IMPERIAL BANK OF COMMERCE /CAN/
Date:
Applicant NFA No.:
225050
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
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| DODIG |
|
Individuals: First Name
| VICTOR |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| President and Chief Executive Officer of CIBC group. |
|
Date Title or Status Acquired(MM/YYYY)
| 09/2014 |
|
Date Individual began working for applicant (MM/YYYY)
| 04/2005 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 480894 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| MEEHAN |
|
Individuals: First Name
| WILLIAM |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| SWAP DEALER CHIEF COMPLIANCE OFFICER |
|
Date Title or Status Acquired(MM/YYYY)
| 08/2021 |
|
Date Individual began working for applicant (MM/YYYY)
| 08/2021 |
|
Does person have an ownership interest in the applicant
| ☐Yes
☒No
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 437625 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| EXSHAW |
|
Individuals: First Name
| CHRISTIAN |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| MD & Head of Global Markets & Direct Financial Services |
|
Date Title or Status Acquired(MM/YYYY)
| 09/2019 |
|
Date Individual began working for applicant (MM/YYYY)
| 11/2008 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 448736 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| PANOSSIAN |
|
Individuals: First Name
| HRATCH |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| CHIEF FINANCIAL OFFICER |
|
Date Title or Status Acquired(MM/YYYY)
| 01/2011 |
|
Date Individual began working for applicant (MM/YYYY)
| 08/2011 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 526003 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| BELANGER |
|
Individuals: First Name
| ERIC |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| MD, Head, Global Distribution & Global Markets International |
|
Date Title or Status Acquired(MM/YYYY)
| 12/2019 |
|
Date Individual began working for applicant (MM/YYYY)
| 02/1994 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
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):
| Mr. Belanger joined CIBC Capital Markets in 1994 and is responsible for the global cross-asset capital markets sales, structuring, securitization and quantitative analytics groups that provides Equity, FX, Fixed Income, Commodities, derivatives solutions. |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| MAJEWSKI |
|
Individuals: First Name
| ARDEN |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| MD & HEAD, FICC |
|
Date Title or Status Acquired(MM/YYYY)
| 12/2019 |
|
Date Individual began working for applicant (MM/YYYY)
| 08/2011 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
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):
| Mr. Majewski began working for CIBC Capital Markets in 2011 as Head of Global Commodities Trading, Global Markets. In 2015 his role expanded to include Foreign Exchange Trading operations on a global basis. In 2019 he was promoted to his current role. |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| ERDODY |
|
Individuals: First Name
| ANTON |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| Managing Director and Head, Global Equities |
|
Date Title or Status Acquired(MM/YYYY)
| 01/2019 |
|
Date Individual began working for applicant (MM/YYYY)
| 01/2001 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
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):
| Mr. Erdody joined CIBC Capital Markets, Toronto in 2001 in Equity Derivatives Trading. Becoming Head of Equity Derivatives Trading in Europe in 2008. In 2019 he assumed his current role. |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| ZUBROW |
|
Individuals: First Name
| BARRY |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 05/2015 |
|
Date Individual began working for applicant (MM/YYYY)
| 05/2015 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 218619 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| BRINDAMOUR |
|
Individuals: First Name
| CHARLES |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 02/2020 |
|
Date Individual began working for applicant (MM/YYYY)
| 02/2020 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 527870 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| LARSEN |
|
Individuals: First Name
| CHRISTINE |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 04/2016 |
|
Date Individual began working for applicant (MM/YYYY)
| 04/2016 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 494916 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| STEVENSON |
|
Individuals: First Name
| KATHERINE |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 12/2012 |
|
Date Individual began working for applicant (MM/YYYY)
| 12/2012 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 448730 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| KELLY |
|
Individuals: First Name
| KEVIN |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 05/2013 |
|
Date Individual began working for applicant (MM/YYYY)
| 05/2013 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 310352 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| DESJARDINS |
|
Individuals: First Name
| LUC |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 12/2012 |
|
Date Individual began working for applicant (MM/YYYY)
| 12/2012 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 448714 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| TURCOTTE |
|
Individuals: First Name
| MARTINE |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 02/2014 |
|
Date Individual began working for applicant (MM/YYYY)
| 02/2014 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 472020 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| MAHER |
|
Individuals: First Name
| MARY |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 04/2021 |
|
Date Individual began working for applicant (MM/YYYY)
| 04/2021 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 538501 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| CALDWELL |
|
Individuals: First Name
| NANCI |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 01/2016 |
|
Date Individual began working for applicant (MM/YYYY)
| 01/2016 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 492384 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| DANIEL |
|
Individuals: First Name
| PATRICK |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 12/2012 |
|
Date Individual began working for applicant (MM/YYYY)
| 12/2012 |
|
Does person have an ownership interest in the applicant
| ☒Yes
☐No
|
If yes, include ownership code
| ☒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
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 448712 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| ALJOUNDI |
|
Individuals: First Name
| AMMAR |
|
Individuals: Middle Name
| |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 04/2022 |
|
Date Individual began working for applicant (MM/YYYY)
| 04/2022 |
|
Does person have an ownership interest in the applicant
| ☐Yes
☒No
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 547686 |
|
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):
| |
FULL LEGAL NAME
|
Prefix
| |
|
Individuals: Last Name
| MORNEAU |
|
Individuals: First Name
| WILLIAM |
|
Individuals: Middle Name
| FRANCIS |
|
Suffix
| |
|
Title or Status
| DIRECTOR |
|
Date Title or Status Acquired(MM/YYYY)
| 11/2022 |
|
Date Individual began working for applicant (MM/YYYY)
| 11/2022 |
|
Does person have an ownership interest in the applicant
| ☐Yes
☒No
|
NFA Identification No., CRD No. and/or IARD No.
|
NFA Identification No.
| 437625 |
|
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:
CANADIAN IMPERIAL BANK OF COMMERCE /CAN/
Date:
Applicant NFA No.:
225050
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): | 0010 |
| Assigning Regulator(s)/Entity(s): | Office of the Superintendent of Financial Institutions |
|
Briefly describe any other financial services industry-related,
non-securities business in which the applicant is engaged:
| Canadian Imperial Bank of Commerce is a leading North American financial institution operating across Personal and Business Banking, Commercial Banking and Wealth Management, and Capital Markets businesses, with 44,000 employees the Bank provides a full range of financial products and services to 10 million personal banking, business, public sector and institutional clients in globally. Business units include Canadian Personal and Business Banking, Canadian Commercial Banking and Wealth Management, U.S. Commercial Banking and Wealth Management, and Capital Markets. |
| UIC (if any), or other Unique Identification Number(s): | |
| Assigning Regulator(s)/Entity(s): | Canada Deposit Insurance Corporation (CDIC) |
|
Briefly describe any other financial services industry-related,
non-securities business in which the applicant is engaged:
| Canadian Imperial Bank of Commerce is a leading North American financial institution operating across Personal and Business Banking, Commercial Banking and Wealth Management, and Capital Markets businesses, with 44,000 employees the Bank provides a full range of financial products and services to 10 million personal banking, business, public sector and institutional clients in globally. Business units include Canadian Personal and Business Banking, Canadian Commercial Banking and Wealth Management, U.S. Commercial Banking and Wealth Management, and Capital Markets. |
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).
| |
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:
CANADIAN IMPERIAL BANK OF COMMERCE /CAN/
Date:
Applicant NFA No.:
225050
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
| Canadian Imperial Bank of Commerce, New York Branch |
B. Address of United States person applicant designates and appoints as agent for service of process
|
Street Address 1
| 300 MADISON AVENUE |
|
Street Address 2
| |
|
City
| NEW YORK |
|
State
|
NEW YORK
|
|
Zip/Postal Code
| 10017 |
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:
| Ron Hoover |
|
Name:
| Ron Hoover |
|
Title:
| MD & Head of Regulatory Change Management |
|
Date:
| 10-29-2021 |
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 |
|
Foreign Registration No. (if any)
| 0010 |
|
English Name of Country:
|
CANADA (FEDERAL LEVEL)
|
|
English Name of Foreign Financial Regulatory Authority
| Monetary Authority of Singapore |
|
Foreign Registration No. (if any)
| |
|
English Name of Country:
|
SINGAPORE
|
|
English Name of Foreign Financial Regulatory Authority
| China Banking and Insurance Regulatory Commission |
|
Foreign Registration No. (if any)
| |
|
English Name of Country:
|
CHINA
|
|
English Name of Foreign Financial Regulatory Authority
| Hong Kong Monetary Authority (HKMA) |
|
Foreign Registration No. (if any)
| |
|
English Name of Country:
|
HONG KONG
|
|
English Name of Foreign Financial Regulatory Authority
| Australian Prudential Regulation Authority (APRA) |
|
Foreign Registration No. (if any)
| |
|
English Name of Country:
|
AUSTRALIA
|
|
English Name of Foreign Financial Regulatory Authority
| Canada Deposit Insurance Corporation (CDIC) |
|
Foreign Registration No. (if any)
| |
|
English Name of Country:
|
CANADA (FEDERAL LEVEL)
|
|
English Name of Foreign Financial Regulatory Authority
| Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) |
|
Foreign Registration No. (if any)
| |
|
English Name of Country:
|
CANADA (FEDERAL LEVEL)
|
|
English Name of Foreign Financial Regulatory Authority
| Financial Consumer Agency of Canada (FCAC) |
|
Foreign Registration No. (if any)
| |
|
English Name of Country:
|
CANADA (FEDERAL LEVEL)
|
|
English Name of Foreign Financial Regulatory Authority
| Financial Conduct Authority (FCA) |
|
Foreign Registration No. (if any)
| |
|
English Name of Country:
|
UNITED KINGDOM
|
|
English Name of Foreign Financial Regulatory Authority
| Prudential Regulation Authority (PRA) |
|
Foreign Registration No. (if any)
| |
|
English Name of Country:
|
UNITED KINGDOM
|
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:
20220214-Binder.pdf
CIBC_Opinion_Books_Records.pdf
SCHED-B_13B_WMC.pdf
SCHED-B_13B_WMI.pdf
CIBC_SBSEAA_Change12JUN2023.pdf
Canadian Imperial Bank (PK) (USOTC:CNDIF)
과거 데이터 주식 차트
부터 5월(5) 2024 으로 6월(6) 2024
Canadian Imperial Bank (PK) (USOTC:CNDIF)
과거 데이터 주식 차트
부터 6월(6) 2023 으로 6월(6) 2024
