Haussmann 1864 Capital Management LLC

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
04/03/2019
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2019-404B-002
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT LLC ("ICE CLEAR") ISSUED A $1,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR 1 MISSED END OF DAY CREDIT DEFAULT SWAP
PRICING SUBMISSIONS IN MARCH 2019. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE
CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUED ACCORDING TO A "PER MISSED PRICE" SCHEDULE, SUBJECT TO
CERTAIN DAILY MAXIMUMS. THE ASSESSMENT BECAME FINAL ON APRIL 19, 2019, AFTER SG DETERMINED NOT TO SEEK WAIVER.

8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):
04/19/2019
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 1,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $1,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $1,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR MISSED
SUBMISSIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.

ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT, LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
08/02/2022
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2022-404B-020
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT ("ICE CLEAR") ISSUED A $71,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR 7A MISSED END OF DAY CREDIT DEFAULT SWAP
PRICING SUBMISSIONS IN JULY 2022. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE
CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUES ACCORDING TO A "PER MISSED PRICE" SCHEDULE, SUBJECT TO
CERTAIN DAILY MAXIMUMS. THE ASSESSMENT BECAME FINAL ON AUGUST 17, 2022.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:

Other
11. Resolution Date (MM/DD/YYYY):
09/18/2022
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 71,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $71,000 WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSION.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $71,000 WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR MISSED
SUBMISSION.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)

This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
11/19/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
N/A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON NOVEMBER 19, 2018, SOCIÉTÉ GÉNÉRALE AND SOCIÉTÉ GÉNÉRALE NEW YORK BRANCH (COLLECTIVELY "SG"), ENTERED INTO A CONSENT ORDER
WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (NYDFS) TO RESOLVE AN ENFORCEMENT ACTION BASED ON THE NYDFS'S FINDING
THAT FROM 2003 TO 2013 SG FAILED TO TAKE SUFFICIENT STEPS TO ENSURE COMPLIANCE WITH THE U.S. SANCTIONS LAWS AND REGULATIONS IN A
TIMELY MANNER. THE NYDFS FURTHER FOUND (1) THAT INDIVIDUALS RESPONSIBLE FOR ORIGINATING U.S. DOLLAR (USD) TRANSACTIONS OUTSIDE OF
THE UNITED STATES HAD A MINIMAL UNDERSTANDING OF U.S. SANCTIONS LAWS AND REGULATIONS AS THEY RELATED TO SUDAN, IRAN, CUBA, NORTH
KOREA, OR OTHER U.S. SANCTIONED COUNTRIES; (2) THAT SG EXECUTED MORE THAN 9,000 OUTBOUND USD PAYMENTS, VALUED AT OVER $13
BILLION, IN AN IMPROPER NON-TRANSPARENT MANNER, MORE THAN $12.5 BILLION OF WHICH INVOLVED IRAN, NEARLY $130 MILLION WERE
CONNECTED TO CUBA, AND APPROXIMATELY $29 MILLION WERE TIED TO SUDAN; AND (3) THAT SG EXECUTED MORE THAN 2,600 OUTBOUND USD
PAYMENTS VALUED APPROXIMATELY AT $8.3 BILLION, IN VIOLATION OF US ECONOMIC SANCTIONS, THE VAST MAJORITY OF WHICH WERE LINKED TO
CUBA. THIS CONDUCT RESULTED IN MULTIPLE VIOLATIONS OF NEW YORK STATE LAWS AND REGULATIONS. SG AGREED TO PAY A PENALTY OF
$325,000,000 AND TO UNDERTAKE CERTAIN SPECIFIED REMEDIAL ACTIONS. A COPY OF THE CONSENT ORDER IS AVAILABLE ON THE NYDFS WEBSITE.
SG ALSO ENTERED INTO CERTAIN RELATED SETTLEMENT AGREEMENTS, SPECIFICALLY A DEFERRED PROSECUTION AGREEMENT (DPA) WITH THE U.S.
DEPARTMENT OF JUSTICE (WITH A PENALTY OF $717.2 MILLION), AND DPA WITH THE NEW YORK COUNTY DISTRICT ATTORNEY'S OFFICE (WITH A
PENALTY OF $162.8 MILLION), A SETTLEMENT AGREEMENT WITH THE U.S. DEPARTMENT OF TREASURY'S OFFICE OF FOREIGN ASSET CONTROL (WITH A
PENALTY OF $53.9 MILLION), AND AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY ISSUED ON CONSENT BY
THE BOARD OF GOVERNOR OF THE FEDERAL RESERVE SYSTEM (WITH A PENALTY OF $81.3 MILLION).
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:

Order
11. Resolution Date (MM/DD/YYYY):
11/19/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 325,000,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ON NOVEMBER 19, 2018, SOCIÉTÉ GÉNÉRALE AND SOCIÉTÉ GÉNÉRALE NEW YORK BRANCH (COLLECTIVELY "SG"), ENTERED INTO A CONSENT
ORDER WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (NYDFS) TO RESOLVE AN ENFORCEMENT ACTION BASED ON THE
NYDFS'S FINDING THAT FROM 2003 TO 2013 SG FAILED TO TAKE SUFFICIENT STEPS TO ENSURE COMPLIANCE WITH THE U.S. SANCTIONS LAWS
AND REGULATIONS IN A TIMELY MANNER. THE NYDFS FURTHER FOUND (1) THAT INDIVIDUALS RESPONSIBLE FOR ORIGINATING U.S. DOLLAR
(USD) TRANSACTIONS OUTSIDE OF THE UNITED STATES HAD A MINIMAL UNDERSTANDING OF U.S. SANCTIONS LAWS AND REGULATIONS AS THEY
RELATED TO SUDAN, IRAN, CUBA, NORTH KOREA, OR OTHER U.S. SANCTIONED COUNTRIES; (2) THAT SG EXECUTED MORE THAN 9,000
OUTBOUND USD PAYMENTS, VALUED AT OVER $13 BILLION, IN AN IMPROPER NON-TRANSPARENT MANNER, MORE THAN $12.5 BILLION OF WHICH
INVOLVED IRAN, NEARLY $130 MILLION WERE CONNECTED TO CUBA, AND APPROXIMATELY $29 MILLION WERE TIED TO SUDAN; AND (3) THAT SG
EXECUTED MORE THAN 2,600 OUTBOUND USD PAYMENTS VALUED APPROXIMATELY AT $8.3 BILLION, IN VIOLATION OF US ECONOMIC
SANCTIONS, THE VAST MAJORITY OF WHICH WERE LINKED TO CUBA. THIS CONDUCT RESULTED IN MULTIPLE VIOLATIONS OF NEW YORK STATE
LAWS AND REGULATIONS. SG AGREED TO PAY A PENALTY OF $325,000,000 AND TO UNDERTAKE CERTAIN SPECIFIED REMEDIAL ACTIONS. A COPY
OF THE CONSENT ORDER IS AVAILABLE ON THE NYDFS WEBSITE. SG ALSO ENTERED INTO CERTAIN RELATED SETTLEMENT AGREEMENTS,
SPECIFICALLY A DEFERRED PROSECUTION AGREEMENT (DPA) WITH THE U.S. DEPARTMENT OF JUSTICE (WITH A PENALTY OF $717.2 MILLION),
AND DPA WITH THE NEW YORK COUNTY DISTRICT ATTORNEY'S OFFICE (WITH A PENALTY OF $162.8 MILLION), A SETTLEMENT AGREEMENT WITH
THE U.S. DEPARTMENT OF TREASURY'S OFFICE OF FOREIGN ASSET CONTROL (WITH A PENALTY OF $53.9 MILLION), AND AN ORDER TO CEASE
AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY ISSUED ON CONSENT BY THE BOARD OF GOVERNOR OF THE FEDERAL
RESERVE SYSTEM (WITH A PENALTY OF $81.3 MILLION).
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON NOVEMBER 19, 2018, SOCIÉTÉ GÉNÉRALE AND SOCIÉTÉ GÉNÉRALE NEW YORK BRANCH (COLLECTIVELY "SG"), ENTERED INTO A CONSENT ORDER
WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (NYDFS) TO RESOLVE AN ENFORCEMENT ACTION BASED ON THE NYDFS'S FINDING
THAT FROM 2003 TO 2013 SG FAILED TO TAKE SUFFICIENT STEPS TO ENSURE COMPLIANCE WITH THE U.S. SANCTIONS LAWS AND REGULATIONS IN A
TIMELY MANNER. THE NYDFS FURTHER FOUND (1) THAT INDIVIDUALS RESPONSIBLE FOR ORIGINATING U.S. DOLLAR (USD) TRANSACTIONS OUTSIDE OF
THE UNITED STATES HAD A MINIMAL UNDERSTANDING OF U.S. SANCTIONS LAWS AND REGULATIONS AS THEY RELATED TO SUDAN, IRAN, CUBA, NORTH
KOREA, OR OTHER U.S. SANCTIONED COUNTRIES; (2) THAT SG EXECUTED MORE THAN 9,000 OUTBOUND USD PAYMENTS, VALUED AT OVER $13
BILLION, IN AN IMPROPER NON-TRANSPARENT MANNER, MORE THAN $12.5 BILLION OF WHICH INVOLVED IRAN, NEARLY $130 MILLION WERE
CONNECTED TO CUBA, AND APPROXIMATELY $29 MILLION WERE TIED TO SUDAN; AND (3) THAT SG EXECUTED MORE THAN 2,600 OUTBOUND USD
PAYMENTS VALUED APPROXIMATELY AT $8.3 BILLION, IN VIOLATION OF US ECONOMIC SANCTIONS, THE VAST MAJORITY OF WHICH WERE LINKED TO
CUBA. THIS CONDUCT RESULTED IN MULTIPLE VIOLATIONS OF NEW YORK STATE LAWS AND REGULATIONS. SG AGREED TO PAY A PENALTY OF
$325,000,000 AND TO UNDERTAKE CERTAIN SPECIFIED REMEDIAL ACTIONS. A COPY OF THE CONSENT ORDER IS AVAILABLE ON THE NYDFS WEBSITE.
SG ALSO ENTERED INTO CERTAIN RELATED SETTLEMENT AGREEMENTS, SPECIFICALLY A DEFERRED PROSECUTION AGREEMENT (DPA) WITH THE U.S.
DEPARTMENT OF JUSTICE (WITH A PENALTY OF $717.2 MILLION), AND DPA WITH THE NEW YORK COUNTY DISTRICT ATTORNEY'S OFFICE (WITH A
PENALTY OF $162.8 MILLION), A SETTLEMENT AGREEMENT WITH THE U.S. DEPARTMENT OF TREASURY'S OFFICE OF FOREIGN ASSET CONTROL (WITH A
PENALTY OF $53.9 MILLION), AND AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY ISSUED ON CONSENT BY
THE BOARD OF GOVERNOR OF THE FEDERAL RESERVE SYSTEM (WITH A PENALTY OF $81.3 MILLION).

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.

Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
AUTORITE DES MARCHES FINANCIERS ("AMF")
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
03/22/2012
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
N/A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 

7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE AMF FINED SOCIÉTÉ GÉNÉRALE AND ANOTHER FRENCH BANK 500,000 EUR ($651,200.00 USD) EACH FOR FAILING TO ENSURE THE
CONFIDENTIALITY OF INFORMATION WHEN TESTING INTEREST IN BOND SALES IN 2009.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision
11. Resolution Date (MM/DD/YYYY):
03/22/2012
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 651,200.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
THE AMF FINED SOCIÉTÉ GÉNÉRALE AND ANOTHER FRENCH BANK 500,000 EUR ($651,200.00 USD) EACH FOR FAILING TO ENSURE THE
CONFIDENTIALITY OF INFORMATION WHEN TESTING INTEREST IN BOND SALES IN 2009.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE AMF FINED SOCIÉTÉ GÉNÉRALE AND ANOTHER FRENCH BANK 500,000 EUR ($651,200.00 USD) EACH FOR FAILING TO ENSURE THE
CONFIDENTIALITY OF INFORMATION WHEN TESTING INTEREST IN BOND SALES IN 2009.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates

One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
BANQUE DE FRANCE (BDF)
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
02/22/2022
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
N/A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
SOCIÉTÉ GÉNÉRALE (SG) WAS THE SUBJECT OF AN ON­SITE EXAMINATION IN 2019 FROM THE BDF CONCERNING THE ELIGIBILITY OF PRIVATE LOANS
REMITTED AS COLLATERAL FOR SG'S INTRA-DAY REFINANCING FROM THE BDF. THE BDF FOUND THAT CERTAIN OF THE PRIVATE LOANS SUBMITTED BY
SG DID NOT COMPLY WITH FRENCH REGULATORY PROVISIONS REGARDING THE TYPES OF LOANS THAT WERE ELIGIBLE FOR COLLATERAL. THE ISSUES
IDENTIFIED BY THE BDF INCLUDED AMONG OTHERS AN IMPERMISSIBLE RATE STRUCTURE FOR CERTAIN OF THE LOANS; LACK OF PROPER
DOCUMENTATION; AND IMPERMISSIBLE GOVERNING LAW.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision
11. Resolution Date (MM/DD/YYYY):
02/22/2022
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 70,738.47
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
THE BDF ORDERED SG TO PAY A FINE OF EUR 62,379.60 FOR PURPOSES OF THIS FILING THE FINE HAS BEEN CONVERTED FROM EUR TO USD
BASED UPON A 1 EUR TO 1.134 USD EXCHANGE RATE AS OF FEBRUARY 22, 2022.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE BDF ORDERED SG TO PAY A FINE OF EUR 62,379.60 FOR PURPOSES OF THIS FILING THE FINE HAS BEEN CONVERTED FROM EUR TO USD BASED
UPON A 1 EUR TO 1.134 USD EXCHANGE RATE AS OF FEBRUARY 22, 2022.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual

Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
THE FINANCIAL SERVICES AUTHORITY - UNITED KINGDOM
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
08/25/2010
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
N/A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
DURING THE PERIOD FROM NOVEMBER 2007 TO FEBRUARY 2012, SOCIÉTÉ GÉNÉRALE IN THE UNITED KINGDOM (1) DID NOT SUBMIT TRADE REPORTING
DATA FOR REPORTABLE TRANSACTIONS OR SUBMITTED INACCURATE DATA IN SUCH REPORTS IN 18.8 MILLION OF ITS 23.5 MILLION REPORTABLE
TRANSACTIONS, AND (2) DID NOT RETAIN AND HAVE AVAILABLE SUCH TRADE REPORTING DATA, IN VIOLATION OF FSA RULES.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
08/25/2010
 Exact
 Explanation
If not exact, provide explanation:

12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 2,420,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
SOCIÉTÉ GÉNÉRALE WAS FINED 1.575 MILLION BRITISH POUNDS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
SOCIÉTÉ GÉNÉRALE WAS FINED 1.575 MILLION BRITISH POUNDS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.

This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
U.S. DEPARTMENT OF TREASURY, OFFICE OF FOREIGN ASSET CONTROL
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
11/19/2019
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
CPMPL-2014-206959
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON NOVEMBER 19, 2018, SOCIÉTÉ GÉNÉRALE ENTERED INTO A SETTLEMENT AGREEMENT WITH THE US DEPARTMENT OF TREASURY'S OFFICE OF
FOREIGN ASSET CONTROL ("OFAC") CONCERNING APPARENT VIOLATIONS OF US ECONOMIC SANCTIONS LAWS. SG AGREED TO PAY A PENALTY OF
$53,966.916.05. IN THE SETTLEMENT, OFAC ALLEGED THAT FOR AT LEAST FIVE YEARS UP TO AND INCLUDING 2012, SG THROUGH ITS HEADQUARTERS
AND VARIOUS BRANCHES, PROCESSED 1,077 US DOLLAR (USD) TRANSACTIONS THROUGH US FINANCIAL INSTITUTIONS TOTALING $5,560,452,994.36
THAT APPEAR TO HAVE VIOLATED THE FOLLOWING SANCTIONS PROGRAMS: THE CUBAN ASSETS CONTROL REGULATIONS, 31 CFR PART 515; THE
SUDANESE SANCTIONS REGULATIONS, 31 CFR PART 538; AND THE IRANIAN TRANSACTIONS AND SANCTIONS REGULATIONS, 31 CFR PART 560. OFAC
FURTHER ALLEGED THAT SG PROCESSED THESE TRANSACTIONS IN A NON-TRANSPARENT MANNER THAT REMOVED, OMITTED, OBSCURED, OR
OTHERWISE FAILED TO INCLUDE REFERENCES TO OFAC-SANCTIONED PARTIES IN THE INFORMATION SENT TO THE US FINANCIAL INSTITUTIONS THAT
WERE INVOLVED IN THE TRANSACTIONS. A COPY OF THE OFAC SETTLEMENT AGREEMENT IS AVAILABLE ON THE OFAC WEBSITE. SG ALSO ENTERED
INTO CERTAIN RELATED SETTLEMENTS, INCLUDING A DEFERRED PROSECUTION AGREEMENT (DPA) WITH THE US DEPARTMENT OF JUSTICE (WITH A
PENALTY OF $717.2 MILLION), AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONETARY PENALTY ISSUED ON CONSENT BY
THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (WITH A PENALTY OF $81.3 MILLION), AND A CONSENT ORDER ISSUED BY THE NEW
YORK STATE DEPARTMENT OF FINANCIAL SERVICES (WITH A PENALTY OF $325 MILLION).
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):
11/19/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 53,966,916.05

 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ON NOVEMBER 19, 2018, SOCIÉTÉ GÉNÉRALE ENTERED INTO A SETTLEMENT AGREEMENT WITH THE US DEPARTMENT OF TREASURY'S OFFICE OF
FOREIGN ASSET CONTROL ("OFAC") CONCERNING APPARENT VIOLATIONS OF US ECONOMIC SANCTIONS LAWS. SG AGREED TO PAY A PENALTY
OF $53,966.916.05. IN THE SETTLEMENT, OFAC ALLEGED THAT FOR AT LEAST FIVE YEARS UP TO AND INCLUDING 2012, SG THROUGH ITS
HEADQUARTERS AND VARIOUS BRANCHES, PROCESSED 1,077 US DOLLAR (USD) TRANSACTIONS THROUGH US FINANCIAL INSTITUTIONS
TOTALING $5,560,452,994.36 THAT APPEAR TO HAVE VIOLATED THE FOLLOWING SANCTIONS PROGRAMS: THE CUBAN ASSETS CONTROL
REGULATIONS, 31 CFR PART 515; THE SUDANESE SANCTIONS REGULATIONS, 31 CFR PART 538; AND THE IRANIAN TRANSACTIONS AND
SANCTIONS REGULATIONS, 31 CFR PART 560. OFAC FURTHER ALLEGED THAT SG PROCESSED THESE TRANSACTIONS IN A NON-TRANSPARENT
MANNER THAT REMOVED, OMITTED, OBSCURED, OR OTHERWISE FAILED TO INCLUDE REFERENCES TO OFAC-SANCTIONED PARTIES IN THE
INFORMATION SENT TO THE US FINANCIAL INSTITUTIONS THAT WERE INVOLVED IN THE TRANSACTIONS. A COPY OF THE OFAC SETTLEMENT
AGREEMENT IS AVAILABLE ON THE OFAC WEBSITE. SG ALSO ENTERED INTO CERTAIN RELATED SETTLEMENTS, INCLUDING A DEFERRED
PROSECUTION AGREEMENT (DPA) WITH THE US DEPARTMENT OF JUSTICE (WITH A PENALTY OF $717.2 MILLION), AN ORDER TO CEASE AND
DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONETARY PENALTY ISSUED ON CONSENT BY THE BOARD OF GOVERNORS OF THE FEDERAL
RESERVE SYSTEM (WITH A PENALTY OF $81.3 MILLION), AND A CONSENT ORDER ISSUED BY THE NEW YORK STATE DEPARTMENT OF FINANCIAL
SERVICES (WITH A PENALTY OF $325 MILLION).
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON NOVEMBER 19, 2018, SOCIÉTÉ GÉNÉRALE ENTERED INTO A SETTLEMENT AGREEMENT WITH THE US DEPARTMENT OF TREASURY'S OFFICE OF
FOREIGN ASSET CONTROL ("OFAC") CONCERNING APPARENT VIOLATIONS OF US ECONOMIC SANCTIONS LAWS. SG AGREED TO PAY A PENALTY OF
$53,966.916.05. IN THE SETTLEMENT, OFAC ALLEGED THAT FOR AT LEAST FIVE YEARS UP TO AND INCLUDING 2012, SG THROUGH ITS HEADQUARTERS
AND VARIOUS BRANCHES, PROCESSED 1,077 US DOLLAR (USD) TRANSACTIONS THROUGH US FINANCIAL INSTITUTIONS TOTALING $5,560,452,994.36
THAT APPEAR TO HAVE VIOLATED THE FOLLOWING SANCTIONS PROGRAMS: THE CUBAN ASSETS CONTROL REGULATIONS, 31 CFR PART 515; THE
SUDANESE SANCTIONS REGULATIONS, 31 CFR PART 538; AND THE IRANIAN TRANSACTIONS AND SANCTIONS REGULATIONS, 31 CFR PART 560. OFAC
FURTHER ALLEGED THAT SG PROCESSED THESE TRANSACTIONS IN A NON-TRANSPARENT MANNER THAT REMOVED, OMITTED, OBSCURED, OR
OTHERWISE FAILED TO INCLUDE REFERENCES TO OFAC-SANCTIONED PARTIES IN THE INFORMATION SENT TO THE US FINANCIAL INSTITUTIONS THAT
WERE INVOLVED IN THE TRANSACTIONS. A COPY OF THE OFAC SETTLEMENT AGREEMENT IS AVAILABLE ON THE OFAC WEBSITE. SG ALSO ENTERED
INTO CERTAIN RELATED SETTLEMENTS, INCLUDING A DEFERRED PROSECUTION AGREEMENT (DPA) WITH THE US DEPARTMENT OF JUSTICE (WITH A
PENALTY OF $717.2 MILLION), AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONETARY PENALTY ISSUED ON CONSENT BY
THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (WITH A PENALTY OF $81.3 MILLION), AND A CONSENT ORDER ISSUED BY THE NEW
YORK STATE DEPARTMENT OF FINANCIAL SERVICES (WITH A PENALTY OF $325 MILLION).

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 

If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM
2.
Principal Sanction:
Cease and Desist
Other Sanctions: 
CIVIL MONETARY PENALTY, AS DESCRIBED BELOW.
3.
Date Initiated (MM/DD/YYYY): 
11/19/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
18-031-B-FB; 18-031-CMP-FB
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON NOVEMBER 19, 2018, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ISSUED A CONSENTED-TO ORDER TO CEASE AND DESIST AND
ORDER OF ASSESSMENT OF CIVIL MONETARY PENALTY AGAINST SOCIÉTÉ GÉNÉRALE (SG) WITH RESPECT TO THE FOLLOWING: (1) A LACK OF
ADEQUATE TRANSPARENCY, RISK MANAGEMENT, AND LEGAL AND COMPLIANCE REVIEW POLICIES AND PROCEDURES TO ENSURE THAT ACTIVITIES
CONDUCTED AT SG'S OFFICES OUTSIDE OF THE UNITED STATES, PRIMARILY THROUGH THE SG'S CORPORATE AND INVESTMENT BANKING OPERATIONS,
COMPILED WITH APPLICABLE REGULATIONS OF THE U.S. DEPARTMENT OF THE TREASURY'S OFFICE OF FOREIGN ASSETS CONTROL (OFAC); AND (2)
FROM AT LEAST 2007 TO 2012, AMONG OTHER THINGS, CERTAIN NON-US OFFICES, PRINCIPALLY SG IN FRANCE PROCESSED US DOLLAR DENOMINATED
FUNDS TRANSFERS THROUGH THE SG'S NEW YORK BRANCH AND THROUGH UNAFFILIATED US FINANCIAL INSTITUTIONS INVOLVING PARTIES SUBJECT
TO OFAC SANCTIONS THAT DID NOT CONTAIN RELEVANT INFORMATION WITHIN THE PAYMENT MESSAGES NECESSARY FOR THE US FINANCIAL
INSTITUTIONS TO DETERMINE WHETHER THESE TRANSACTIONS WERE CARRIED OUT IN A MANNER CONSISTENT WITH US LAWS, WHICH RESULTED IN
VIOLATIONS OF OFAC REGULATIONS. SG AGREED TO PAY A PENALTY OF $81,265,000 AND TO UNDERTAKE CERTAIN SPECIFIED REMEDIAL ACTIONS. A
COPY OF THE CEASE AND DESIST ORDER IS AVAILABLE ON THE WEBSITE OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. SG ALSO
ENTERED INTO CERTAIN RELATED SETTLEMENT AGREEMENTS INCLUDING A DEFERRED PROSECUTION AGREEMENT (DPA), WITH THE US DEPARTMENT OF
JUSTICE (WITH A PENALTY OF $717.2 MILLION), A DPA WITH THE NEW YORK COUNTRY DISTRICT ATTORNEY'S OFFICE (WITH A PENALTY OF $162.8
MILLION), A SETTLEMENT AGREEMENT WITH OFAC (WITH A PENALTY OF $53.9 MILLION), AND A CONSENT ORDER ISSUED BY THE NEW YORK STATE

)
(
)
DEPARTMENT OF FINANCIAL SERVICES (WITH A PENALTY OF $325 MILLION).
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Order
11. Resolution Date (MM/DD/YYYY):
11/19/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
CIVIL MONETARY PENALTY, AS DESCRIBED BELOW.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
SG AGREED TO PAY A PENALTY OF $81,265,000 AND TO UNDERTAKE CERTAIN SPECIFIED REMEDIAL ACTIONS. A COPY OF THE CEASE AND DESIST
ORDER IS AVAILABLE ON THE WEBSITE OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. SG ALSO ENTERED INTO CERTAIN
RELATED SETTLEMENT AGREEMENTS INCLUDING A DEFERRED PROSECUTION AGREEMENT (DPA), WITH THE US DEPARTMENT OF JUSTICE (WITH A
PENALTY OF $717.2 MILLION), A DPA WITH THE NEW YORK COUNTRY DISTRICT ATTORNEY'S OFFICE (WITH A PENALTY OF $162.8 MILLION), A
SETTLEMENT AGREEMENT WITH OFAC (WITH A PENALTY OF $53.9 MILLION), AND A CONSENT ORDER ISSUED BY THE NEW YORK STATE
DEPARTMENT OF FINANCIAL SERVICES (WITH A PENALTY OF $325 MILLION).
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON NOVEMBER 19, 2018, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ISSUED A CONSENTED-TO ORDER TO CEASE AND DESIST AND
ORDER OF ASSESSMENT OF CIVIL MONETARY PENALTY AGAINST SOCIÉTÉ GÉNÉRALE (SG) WITH RESPECT TO THE FOLLOWING: (1) A LACK OF
ADEQUATE TRANSPARENCY, RISK MANAGEMENT, AND LEGAL AND COMPLIANCE REVIEW POLICIES AND PROCEDURES TO ENSURE THAT ACTIVITIES
CONDUCTED AT SG'S OFFICES OUTSIDE OF THE UNITED STATES, PRIMARILY THROUGH THE SG'S CORPORATE AND INVESTMENT BANKING OPERATIONS,
COMPILED WITH APPLICABLE REGULATIONS OF THE U.S. DEPARTMENT OF THE TREASURY'S OFFICE OF FOREIGN ASSETS CONTROL (OFAC); AND (2)
FROM AT LEAST 2007 TO 2012, AMONG OTHER THINGS, CERTAIN NON-US OFFICES, PRINCIPALLY SG IN FRANCE PROCESSED US DOLLAR DENOMINATED
FUNDS TRANSFERS THROUGH THE SG'S NEW YORK BRANCH AND THROUGH UNAFFILIATED US FINANCIAL INSTITUTIONS INVOLVING PARTIES SUBJECT
TO OFAC SANCTIONS THAT DID NOT CONTAIN RELEVANT INFORMATION WITHIN THE PAYMENT MESSAGES NECESSARY FOR THE US FINANCIAL
INSTITUTIONS TO DETERMINE WHETHER THESE TRANSACTIONS WERE CARRIED OUT IN A MANNER CONSISTENT WITH US LAWS, WHICH RESULTED IN
VIOLATIONS OF OFAC REGULATIONS. SG AGREED TO PAY A PENALTY OF $81,265,000 AND TO UNDERTAKE CERTAIN SPECIFIED REMEDIAL ACTIONS. A
COPY OF THE CEASE AND DESIST ORDER IS AVAILABLE ON THE WEBSITE OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. SG ALSO
ENTERED INTO CERTAIN RELATED SETTLEMENT AGREEMENTS INCLUDING A DEFERRED PROSECUTION AGREEMENT (DPA), WITH THE US DEPARTMENT OF
JUSTICE (WITH A PENALTY OF $717.2 MILLION), A DPA WITH THE NEW YORK COUNTRY DISTRICT ATTORNEY'S OFFICE (WITH A PENALTY OF $162.8
MILLION), A SETTLEMENT AGREEMENT WITH OFAC (WITH A PENALTY OF $53.9 MILLION), AND A CONSENT ORDER ISSUED BY THE NEW YORK STATE
DEPARTMENT OF FINANCIAL SERVICES (WITH A PENALTY OF $325 MILLION).

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.

Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
04/29/2016
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2016-404B-006
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 

CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT LLC ("ICE CLEAR") ISSUED A $10,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE FOR MISSED END OF DAY CREDIT DEFAULT SWAP
PRICING SUBMISSIONS ON APRIL 29, 2016. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE
CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUED ACCORDING TO A
"PER MISSED PRICE" SCHEDULE SUBJECT TO CERTAIN DAILY MAXIMUMS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):
04/29/2016
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 10,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR MISSED
SUBMISSIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):

You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
COMMISSION BANCAIRE (FRANCE)
2.
Principal Sanction:
Reprimand
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
06/20/2008
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
N/A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Options
Other Product Types: 
FUTURES, STOCKS
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
FOLLOWING THE ANNOUNCEMENT ON JANUARY 24, 2008 BY SOCIÉTÉ GÉNÉRALE OF SIGNIFICANT LOSSES FROM CERTAIN UNAUTHORIZED TRADING
ACTIVITY IN ITS PARIS OFFICE, THE FRENCH COMMISSION BANCAIRE REPRIMANDED AND FINED SOCIÉTÉ GÉNÉRALE EURO 4 MILLION FOR BREACHING
REGULATORY PROVISIONS CONCERNING INTERNAL CONTROL PROCEDURES (FRENCH BANKING AND REGULATORY COMMITTEE REGULATION NO. 97-02).
8.
Current Status?      
 Pending
 On Appeal
 Final

9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision
11. Resolution Date (MM/DD/YYYY):
07/03/2008
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 6,000,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
THE AMOUNT OF THE FINE WAS EURO 4 MILLION. THE 6 MILLION REFLECTED ABOVE IS THE APPROXIMATE VALUE OF THE FINE IN UNITED STATES
DOLLARS AT THE TIME.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE AMOUNT OF THE FINE WAS EURO 4 MILLION. THE 6 MILLION REFLECTED ABOVE IS THE APPROXIMATE VALUE OF THE FINE IN UNITED STATES
DOLLARS AT THE TIME.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE

CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
COMMODITY FUTURES TRADING COMMISSION (CFTC)
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
08/08/2023
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
DOCKET NO. 23-35
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE CFTC ENTERED INTO A SETTLEMENT ORDER ("ORDER") WITH SG AMERICAS SECURITIES LLC ("SGAS") AND SOCIÉTÉ GÉNÉRALE S.A. ("SOCIÉTÉ
GÉNÉRALE" AND COLLECTIVELY, WITH SGAS THE "RESPONDENTS") TO SETTLE AN ADMINISTRATIVE ACTION CONCERNING (A) SOCIÉTÉ GÉNÉRALE'S
FAILURE TO MAINTAIN REQUIRED RECORDS IN VIOLATION OF SECTION 4S(F)(1)(C) AND 4(S)(G)(1) AND (3) OF THE COMMODITY EXCHANGE ACT ("ACT")
AND REGULATIONS 23.201(A) AND 23.202(A)(1) AND (B)(1); (B) SGAS'S FAILURE TO KEEP REQUIRED RECORDS IN VIOLATION OF SECTION 4G OF THE
ACT AND REGULATION 1.35; (C) RESPONDENTS' FAILURE TO KEEP RECORDS IN THE REQUIRED MANNER IN VIOLATIONS OF REGULATION 1.31; (D)
SOCIÉTÉ GÉNÉRALE'S FAILURE TO SUPERVISE DILIGENTLY IN VIOLATION OF SECTIONS 4S(H)(1)(B) OF THE ACT AND REGULATION 23.602(A); AND (E)
SGAS'S FAILURE TO DILIGENTLY SUPERVISE IN VIOLATION OF REGULATION 166.3.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Order

11. Resolution Date (MM/DD/YYYY):
08/08/2023
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 75,000,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
THE RESPONDENTS ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGE THEIR CONDUCT VIOLATED THE ACT AND
REGULATIONS AND CONSENTED TO: (A) THE ENTRY OF THE CFTC'S FINDINGS; (B) HAVE SOCIÉTÉ GÉNÉRALE CEASE AND DESIST FROM VIOLATION
SECTIONS 4S(F)(1)(C), 4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE ACT AND REGULATIONS 1.31, 23.201(A), 23.202(A)(1), AND (B)(1) AND
23.602(A), AND TO HAVE SGAS CEASE AND DESIST FROM VIOLATION SECTION 4G OF THE ACT AND REGULATIONS 1.31, 1.35, AND 1.66.3, (C) PAY
A CIVIL MONETARY PENALTY IN THE AMOUNT OF $75,000,000, AND (D) COMPLY WITH CERTAIN CONDITIONS AND UNDERTAKINGS. THE CIVIL
MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE RESPONDENTS ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGE THEIR CONDUCT VIOLATED THE ACT AND REGULATIONS AND
CONSENTED TO: (A) THE ENTRY OF THE CFTC'S FINDINGS; (B) HAVE SOCIÉTÉ GÉNÉRALE CEASE AND DESIST FROM VIOLATION SECTIONS 4S(F)(1)(C),
4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE ACT AND REGULATIONS 1.31, 23.201(A), 23.202(A)(1), AND (B)(1) AND 23.602(A), AND TO HAVE SGAS
CEASE AND DESIST FROM VIOLATION SECTION 4G OF THE ACT AND REGULATIONS 1.31, 1.35, AND 1.66.3, (C) PAY A CIVIL MONETARY PENALTY IN THE
AMOUNT OF $75,000,000, AND (D) COMPLY WITH CERTAIN CONDITIONS AND UNDERTAKINGS. THE CIVIL MONETARY PENALTY WAS PAID IN
ACCORDANCE WITH THE TERMS OF THE ORDER.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE

CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
01/25/2016
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2016-404B-046
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT LLC ("ICE CLEAR") ISSUED A $129,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR MISSED END OF DAY CREDIT DEFAULT SWAP
PRICING SUBMISSIONS ON NOVEMBER 27, 2015. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS
UNDER ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUED ACCORDING TO A "PER MISSED PRICE" SCHEDULE.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):

01/25/2016
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 129,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $129,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $129,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the

adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
11/19/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
N/A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON NOVEMBER 19, 2018 SOCIÉTÉ GÉNÉRALE (SG) AND SOCIÉTÉ GÉNÉRALE NEW YORK BRANCH (SGNY) COLLECTIVELY ("SG"), AGREED TO THE ENTRY
OF A CONSENT ORDER WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("NYDFS") TO RESOLVE AN ENFORCEMENT ACTION BASED
ON NYDFS'S FINDINGS THAT SERIOUS DEFICIENCIES EXISTED IN THE ANTI-MONEY LAUNDERING/BANK SECRECY ACT (BSA/AML) COMPLIANCE PROGRAM
AT THE SGNY OVER SEVERAL EXAM CYCLES FROM 2014 FORWARD. THE NYDFS'S CONSENT ORDER DESCRIBED SEVERAL DEFICIENCIES, INCLUDING
ONES RELATED TO BSA/AML COMPLIANCE PROGRAM GOVERNANCE AND OVERSIGHT, RISK ASSESSMENT, AND TRANSACTION MONITORING, AND CITED
VIOLATIONS OF NEW YORK BANKING LAW AND A 2009 WRITTEN AGREEMENT BETWEEN SG AND SGNY AND THE NYDFS (AND THE FEDERAL RESERVE).
THE CONSENT ORDER INCLUDED A PENALTY OF $95,000,000 AND MULTIPLE REMEDIAL OBLIGATIONS. A COPY OF THE CONSENT ORDER IS AVAILABLE
ON THE NYDFS WEBSITE.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Order
11. Resolution Date (MM/DD/YYYY):
11/19/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?

 Monetary/Fine Amount: $ 95,000,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
THE CONSENT ORDER INCLUDED A PENALTY OF $95,000,000 AND MULTIPLE REMEDIAL OBLIGATIONS. A COPY OF THE CONSENT ORDER IS
AVAILABLE IN THE NYDFS WEBSITE.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON NOVEMBER 19, 2018 SOCIÉTÉ GÉNÉRALE (SG) AND SOCIÉTÉ GÉNÉRALE NEW YORK BRANCH (SGNY) (COLLECTIVELY "SG"), AGREED TO THE ENTRY
OF A CONSENT ORDER WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES TO RESOLVE AN ENFORCEMENT ACTION BASED ON THE
NYDFS'S FINDING THAT SERIOUS DEFICIENCIES EXISTED IN THE BSA/AML COMPLIANCE PROGRAM AT THE SGNY OVER SEVERAL EXAM CYCLES FROM
2014 FORWARD. THE NYDFS CONSENT ORDER DESCRIBED SEVERAL DEFICIENCIES, INCLUDING ONES RELATED TO BSA/AML COMPLIANCE PROGRAM
GOVERNANCE AND OVERSIGHT, RISK ASSESSMENT, AND TRANSACTION MONITORING, AND CITED VIOLATIONS OF NEW YORK BANKING LAW AND A 2009
WRITTEN AGREEMENT BETWEEN SG AND SGNY AND THE NYDFS (AND THE FEDERAL RESERVE). THE CONSENT ORDER INCLUDED A PENALTY OF
$95,000,000 AND MULTIPLE REMEDIAL OBLIGATIONS. A COPY OF THE CONSENT ORDER IS AVAILABLE IN THE NYDFS WEBSITE.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.

If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
01/10/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2018-404B-028
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT LLC (ICE CLEAR) ISSUED A $10,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR MISSED END OF DAY CREDIT DEFAULT SWAP
PRICING SUBMISSIONS IN JUNE 2018. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE
CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUED ACCORDING TO A "PER MISSED PRICE" SCHEDULE, SUBJECT TO
CERTAIN DAILY MAXIMUMS. THE ASSESSMENT BECAME FINAL ON FEBRUARY 4, 2019 AFTER SG DETERMINED NOT TO SEEK WAIVER.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):
02/04/2019
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 10,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension

B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR MISSED
SUBMISSIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.

 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
07/10/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2018-404B-008
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT LLC (ICE CLEAR) ISSUED A $110,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR MISSED END OF DAY CREDIT DEFAULT SWAP
PRICING SUBMISSIONS IN JUNE 2018. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE
CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUED ACCORDING TO A "PER MISSED PRICE" SCHEDULE, SUBJECT TO
CERTAIN DAILY MAXIMUMS. THE ASSESSMENT BECAME FINAL ON JULY 25, 2018, AFTER SG DETERMINED NOT TO SEEK A WAIVER.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):
07/25/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 110,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $110,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.

13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $110,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
COMMODITY FUTURES TRADING COMMISSION

2.
Principal Sanction:
Cease and Desist
Other Sanctions: 
UNDERTAKING, MONETARY FINE
3.
Date Initiated (MM/DD/YYYY): 
06/04/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
CFTC DOCKET NO. 18-14
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Futures - Financial
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON JUNE 4, 2018, THE COMMODITY FUTURES TRADING COMMISSION (CFTC) ENTERED AN ORDER (THE "ORDER") INSTITUTING PROCEEDINGS
PURSUANT TO SECTIONS 6(C) AND 5(D) OF THE COMMODITY EXCHANGE ACT (THE "CEA"), FINDING THAT, DURING THE PERIOD OF 2006 THROUGH MID-
2012, SOCIÉTÉ GÉNÉRALE (SG), BY AND THROUGH CERTAIN TRADERS AND CERTAIN MEMBERS OF MANAGEMENT, COMMITTED ACTS OF ATTEMPTED
MANIPULATION AND/OR ACTUAL MANIPULATION OF, AN MADE FALSE, MISLEADING OR KNOWINGLY INACCURATE REPORTS OF MARKET INFORMATION IN
CONNECTION WITH LIBOR FOR US DOLLAR, YEN. AND THE EURO AND THE EURO INTERBANK OFFERED RATE (EURIBOR) IN VIOLATION OF SECTIONS
6(C) AND 6(D) (FOR CONDUCT OCCURRING PRIOR TO AUGUST 15, 2011) AND SECTION 9(A)(2) OF THE CEA.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Order
11. Resolution Date (MM/DD/YYYY):
06/04/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 475,000,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
UNDERTAKING
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
THE FIRM WAS, UNDER THE ORDER, REQUIRED TO PAY A CIVIL MONETARY PENALTY OF $475,000,000. SG WIRED THIS PAYMENT ON JUNE 13,
2018 AND THE CFTC CONFIRMED RECEIPT AS ON JUNE 14, 2018.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE FIRM WAS, UNDER THE ORDER, REQUIRED TO PAY A CIVIL MONETARY PENALTY OF $475,000,000. SG WIRED THIS PAYMENT ON JUNE 13, 2018 AND
THE CFTC CONFIRMED RECEIPT AS ON JUNE 14, 2018.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
04/20/2017
 Exact
 Explanation
If not exact, provide explanation:

4.
Docket/Case Number:
2017-404B-004
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT LLC ("ICE CLEAR") ISSUED A $10,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR NINE MISSED END OF DAY CREDIT DEFAULT
SWAP PRICING SUBMISSIONS IN MARCH 2017. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER
ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUED ACCORDING TO A "PER MISSED PRICE" SCHEDULE, SUBJECT TO
CERTAIN DAILY MAXIMUMS. THE ASSESSMENT BECAME FINAL ON APRIL 20, 2017, AFTER SG DETERMINED NOT TO SEEK WAIVER.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):
04/20/2017
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 10,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR MISSED
SUBMISSIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.

Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
05/17/2017
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2017-404B-005
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 

CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT LLC ("ICE CLEAR") ISSUED A $10,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR NINE MISSED END OF DAY CREDIT DEFAULT
SWAP PRICING SUBMISSIONS IN APRIL 2017. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER
ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUED ACCORDING TO A "PER MISSED PRICE" SCHEDULE, SUBJECT TO
CERTAIN DAILY MAXIMUMS. THE ASSESSMENT BECAME FINAL ON MAY 17, 2017, AFTER SG DETERMINED NOT TO SEEK WAIVER.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):
05/17/2017
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 10,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR MISSED
SUBMISSIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):

You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
04/20/2017
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2016-404B-044
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT LLC (ICE CLEAR) ISSUED A $10,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR NINE MISSED END OF DAY CREDIT DEFAULT
SWAP PRICING SUBMISSIONS IN DECEMBER 2016. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS
UNDER ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUED ACCORDING TO A "PER MISSED PRICE" SCHEDULE,
SUBJECT TO CERTAIN DAILY MAXIMUMS. THE ASSESSMENT BECAME FINAL WHEN SG DETERMINED NOT TO SEEK A WAIVER ON FEBRUARY 3, 2017.
8.
Current Status?      
 Pending
 On Appeal
 Final

9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):
02/03/2017
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 10,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000 WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000 WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR MISSED
SUBMISSIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE

CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
COMMODITY FUTURES TRADING COMMISSION
2.
Principal Sanction:
Cease and Desist
Other Sanctions: 
CIVIL MONETARY PENALTY
3.
Date Initiated (MM/DD/YYYY): 
12/07/2016
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
CFTC DOCKET NO. 17-01
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
FX SWAPS, FX FORWARDS, AND NON-DELIVERABLE FORWARDS
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE COMMISSION FOUND THAT SOCIÉTÉ GÉNÉRALE (SG) INADVERTENTLY FAILED TO REPORT TO SWAP DATA DEPOSITORY CERTAIN NON­DELIVERABLE
FORWARDS, FX SWAP, AND FX FORWARD TRANSACTIONS BETWEEN JULY 2014 AND APRIL 2015. AS A RESULT, THE CFTC FOUND THAT SG VIOLATED
SECTIONS 2(A)(13)(F) AND (G) AND 4(R)(3) OF THE ACT, 7 USC SEC. 2(A)(13)(F) AND (G) (2012), AND REGULATIONS 43.3(A)(3), 43(A), 45.3(C)(1) AND
45.4(A), 17 CFR SEC. 43. 3(A)(3), 43.4(A), 45.4(C)(1) AND 45.4(A)(2016).
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision & Order of Offer of Settlement

11. Resolution Date (MM/DD/YYYY):
12/07/2016
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 450,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
SG AGREED TO A FINE OF $450,000 AND WAS ORDERED TO CEASE AND DESIST FROM FUTURE VIOLATIONS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
SG AGREED TO A FINE OF $450,000 AND WAS ORDERED TO CEASE AND DESIST FROM FUTURE VIOLATIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the

adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
AUTORITE DES MARCHES FINANCIERS (AMF)
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
03/20/2015
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
N/A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
INVESTMENT RESEARCH AND FINANCIAL ANALYSIS ACTIVITY
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
SOCIÉTÉ GÉNÉRALE (SG) ENTERED INTO A SETTLEMENT AGREEMENT WITH THE AMF FOLLOWING AN AUDIT REGARDING ITS INDEPENDENT RESEARCH
AND FINANCIAL ANALYSIS ACTIVITIES. THE AMF NOTED THAT SG DID NOT FULLY COMPLY WITH THE PROVISIONS COVERING THE PRODUCTION OF
ANALYST NOTES, AND MORE SPECIFICALLY THEIR CONTENT AND THE CONTROL THEREOF BY THE COMPLIANCE DEPARTMENT. THE SETTLEMENT ALSO
HIGHLIGHTED ISSUES RELATING TO COMPLIANCE WITH AMF PROVISIONS COVERING THE MANAGEMENT OF INSIDE INFORMATION.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
06/23/2017
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 526,410.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction

 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
IN TERMS OF THIS SETTLEMENT, THE BANK UNDERTOOK TO PAY THE PUBLIC TREASURY 450,000 EUROS EQUAL TO $526,410 US DOLLARS, CARRY
OUT REGULAR CHECKS ON ITS INVESTMENT RESEARCH AND FINANCIAL ANALYSIS ACTIVITY, ENSURING THAT FORMALITIES ARE COMPLETED AND
THAT THE COMPLIANCE DEPARTMENT HAS ACCESS TO RELEVANT INFORMATION, AND BY CARRYING OUT SECOND-LEVEL CHECKS IN ORDER TO
IDENTIFY POSSIBLE FAILINGS, BOLSTER ITS AUDIT PLAN IN THE DEPARTMENT IN QUESTIONS, STRENGTHEN ITS PROCESSES FOR MANAGING
INSIDE INFORMATION IN THE CONTEXT OF THE ACTIVITY INVOLVED IN THE AUDIT, APPOINT, AT ITS OWN EXPENSE, AN EXTERNAL AUDIT FIRM TO
CARRY OUT AN AUDIT ON THE PROPER IMPLEMENTATION OF THE UNDERTAKINGS MADE AND WHICH MUST BE SENT TO THE AMF WITHIN SIX
MONTHS OF APPROVAL OF THE SETTLEMENT AGREEMENT BY THE SANCTIONS COMMITTEE.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IN TERMS OF THIS SETTLEMENT, THE BANK UNDERTOOK TO PAY THE PUBLIC TREASURY 450,000 EUROS EQUAL TO $526,410 US DOLLARS, CARRY OUT
REGULAR CHECKS ON ITS INVESTMENT RESEARCH AND FINANCIAL ANALYSIS ACTIVITY, ENSURING THAT FORMALITIES ARE COMPLETED AND THAT THE
COMPLIANCE DEPARTMENT HAS ACCESS TO RELEVANT INFORMATION, AND BY CARRYING OUT SECOND-LEVEL CHECKS IN ORDER TO IDENTIFY
POSSIBLE FAILINGS, BOLSTER ITS AUDIT PLAN IN THE DEPARTMENT IN QUESTIONS, STRENGTHEN ITS PROCESSES FOR MANAGING INSIDE
INFORMATION IN THE CONTEXT OF THE ACTIVITY INVOLVED IN THE AUDIT, APPOINT, AT ITS OWN EXPENSE, AN EXTERNAL AUDIT FIRM TO CARRY OUT
AN AUDIT ON THE PROPER IMPLEMENTATION OF THE UNDERTAKINGS MADE AND WHICH MUST BE SENT TO THE AMF WITHIN SIX MONTHS OF APPROVAL
OF THE SETTLEMENT AGREEMENT BY THE SANCTIONS COMMITTEE.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.

If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
03/02/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2018-404B-008
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT LLC (ICE CLEAR) ISSUED A $10,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR 18 MISSED END OF DAY CREDIT DEFAULT SWAP
PRICING SUBMISSIONS IN FEBRUARY 2018. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE
CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUED ACCORDING TO A "PER MISSED PRICE" SCHEDULE, SUBJECT TO
CERTAIN DAILY MAXIMUMS. THE ASSESSMENT BECAME FINAL ON MARCH 30, 2018, AFTER SG DETERMINED NOT TO SEEK A WAIVER.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):
03/30/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 10,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension

B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR MISSED
SUBMISSIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.

 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FRENCH PRUDENTIAL SUPERVISION AND RESOLUTION AUTHORITY (ACPR)
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
REPRIMAND
3.
Date Initiated (MM/DD/YYYY): 
07/26/2016
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
N/A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE ACPR, IN CHARGE OF OVERSEEING THE FRENCH BANKING AND INSURANCE SECTORS, CONDUCTED ON AN ONSITE EXAMINATION FROM SEPTEMBER
8 TO DECEMBER 1, 2015 REGARDING SOCIÉTÉ GÉNÉRALE'S (SG) PROCEDURES FOR SUSPICIOUS ACTIVITY REPORTING (SAR). ON JUNE 5, 2016, THE
ACPR INITIATED A DISCIPLINARY PROCEDURE AGAINST SG. THE ACPR ENFORCEMENT DECISION DELIVERED ITS DECISION ON JULY 19, 2017, WHICH
INCLUDED A REPRIMAND AND A 5 MILLION EURO FINE. THE DECISION, WHICH IS AVAILABLE ON THE ACPR'S WEBSITE, FOUND THAT THE SAR
PROCEDURES IMPLEMENTED BY SG WERE INADEQUATE IN CERTAIN RESPECTS TO ENABLE SG TO PROPERLY COMPLY WITH ITS OBLIGATION TO TIMELY
REPORT SUSPICIOUS TRANSACTIONS "WITHOUT DELAY" TO TRACFIN, THE FRENCH FINANCIAL INVESTIGATIONS UNIT, AS REQUIRED UNDER THE LAW;
FOUND CERTAIN OTHER WEAKNESSES IN SG'S PROCEDURES AND CONTROLS AROUND DETECTING AND ANALYZING UNUSUAL TRANSACTIONS AND
COMPLYING WITH ITS REPORTING OBLIGATIONS; AND FOUND THAT SG HAD INCORRECTLY REPORTED ITS PROCESSING TIMES FOR SARS TO TRACFIN.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision
11. Resolution Date (MM/DD/YYYY):
07/19/2017
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 5,757,500.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion

of penalty was waived: 
THE ACPR ENFORCEMENT COMMISSION ISSUED A REPRIMAND AGAINST SG AND ORDERED IT TO PAY A FINE OF EUR 5 MILLION ($5,757,500
ACCORDING TO THE EXCHANGE RATE ON 7/19/2017).
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE ACPR ENFORCEMENT COMMISSION ISSUED A REPRIMAND AGAINST SG AND ORDERED IT TO PAY A FINE OF EUR 5 MILLION ($5,757,500
ACCORDING TO THE EXCHANGE RATE ON 7/19/2017).

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II

1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
CME GROUP INC.
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
SUMMARY FINE
3.
Date Initiated (MM/DD/YYYY): 
08/11/2021
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
N/A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Futures - Commodity
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
FOR VARIOUS TRADE DATES FROM MARCH 2019 TO JULY 2021, INCORRECT POSITIONS AND INCORRECT OCR 102A INFORMATION WERE REPORTED FOR
REPORTING # 0DG02 IN VIOLATION.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Acceptance, Waiver & Consent(AWC)
11. Resolution Date (MM/DD/YYYY):
08/11/2021
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 2,500.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
SUMMARY FINE FOR VARIOUS TRADE DATES FROM MARCH 2019 TO JULY 2021, INCORRECT POSITIONS AND INCORRECT OCR 102A INFORMATION.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
SUMMARY FINE FOR VARIOUS TRADE DATES FROM MARCH 2019 TO JULY 2021, INCORRECT POSITIONS AND INCORRECT OCR 102A INFORMATION.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,

11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE FUTURES U.S., INC.
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
04/13/2021
 Exact
 Explanation
If not exact, provide explanation:

4.
Docket/Case Number:
2021-022
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Derivative(s)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
AT A MEETING HELD ON JUNE 7, 2023, THE BUSINESS CONDUCT COMMITTEE ("BCC") OF ICE FUTURES U.S., INC. ("IFUS" OR THE EXCHANGE)
DETERMINED THAT SOCIÉTÉ GÉNÉRALE ("SG") MAY HAVE VIOLATED EXCHANGE RULES 4.02(C) BY EXECUTING TRANSACTION THAT MAY HAVE RESULTED
IN AN INDIRECT WASH TRADE, AND 4.07(C) IN FOUR (4) INSTANCES BY MISREPORTING THE EXECUTION TIME OF A BLOCK TRADE AND FOUR (4)
INSTANCES BY SUBMITTING SUCH BLOCK TRADE TO THE EXCHANGE BEYOND THE 15-MINUTE REPORTING WINDOW. AT THAT MEETING, THE BCC
APPROVED A SETTLEMENT AGREEMENT UNDER WHICH SG AGREED TO PAY A FINE OF $15,000.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
06/07/2023
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 15,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
IFUS SETTLED THE MATTER.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
AT A MEETING HELD ON JUNE 7, 2023, THE BUSINESS CONDUCT COMMITTEE ("BCC") OF ICE FUTURES U.S., INC. ("IFUS" OR THE EXCHANGE)
DETERMINED THAT SOCIÉTÉ GÉNÉRALE ("SG") MAY HAVE VIOLATED EXCHANGE RULES 4.02(C) BY EXECUTING TRANSACTION THAT MAY HAVE RESULTED
IN AN INDIRECT WASH TRADE, AND 4.07(C) IN FOUR (4) INSTANCES BY MISREPORTING THE EXECUTION TIME OF A BLOCK TRADE AND FOUR (4)
INSTANCES BY SUBMITTING SUCH BLOCK TRADE TO THE EXCHANGE BEYOND THE 15-MINUTE REPORTING WINDOW. AT THAT MEETING, THE BCC
APPROVED A SETTLEMENT AGREEMENT UNDER WHICH SG AGREED TO PAY A FINE OF $15,000.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.

Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
THE FRENCH COMPETITION AUTHORITY
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
09/20/2010
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
N/A
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Annuity(ies) - Variable
Other Product Types: 

yp
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
FOLLOWING AN INVESTIGATION, THE FRENCH COMPETITION AUTHORITY (AUTORITE DE LA CONCURRENCE) ISSUED A DECISION FINDING THAT ELEVEN
(11) MAJOR FRENCH RETAIL BANKS, INCLUDING SOCIÉTÉ GÉNÉRALE AND ITS SUBSIDIARY, CREDIT DU NORD, HAD ENGAGED IN ANTICOMPETITIVE
ACTIVITY IN CONNECTION WITH FEES ASSOCIATED WITH ELECTRONIC CHECK PROCESSING SERVICES AND CERTAIN OTHER FEES FOR RELATED
SERVICES IN FRANCE. THE AUTHORITY FOUND THAT A FEE OF 0.043 EUROS PER CHECK WAS UNJUSTIFIED AND AN INFRINGEMENT OF COMPETITION
RULE IN FRANCE AND THAT CERTAIN OTHER FEES WERE NOT PROPORTIONATE TO COSTS INCURRED BY THE BANKS. THE PRIMARY PROCESSING FEES
WERE CHARGED BETWEEN JANUARY 2022 AND JULY 2007. THE GROUP OF 11 BANKS WAS FINED A TOTAL OF 348.92 MILLION EUROS. SOCIÉTÉ
GÉNÉRALE WAS FINED 53.47 MILLION EUROS AND CREDIT DU NORD WAS FINED 6.98 MILLION EUROS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Dismissed
11. Resolution Date (MM/DD/YYYY):
06/28/2023
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 58,870,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ON JUNE 28, 2023, THE FRENCH SUPREME COURT UPHELD THE PARIS COURT OF APPEALS JUDGMENT WHICH REVERSED THE 2010 DECISION BY
THE FCA FINING SG, FINDING THAT THE FCA FAILED TO PROVE THE FIRMS HAD ENGAGED IN ANTI-COMPETITIVE PRICING. THE MATTER WAS
DISMISSED.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IN THE EARLY 2000S, THE FRENCH BANKING INDUSTRY DECIDED TO TRANSITION TO A NEW DIGITAL SYSTEM IN ORDER TO STREAMLINE CHEQUE
CLEARING. TO SUPPORT THIS REFORM, WHICH HAS CONTRIBUTED TO THE IMPROVEMENT OF CHEQUE PAYMENTS SECURITY AND TO THE FIGHT
AGAINST FRAUD, THE BANKS ESTABLISHED SEVERAL INTERBANK FEES, INCLUDING THE CEIC WHICH WAS ABOLISHED IN 2007. THESE FEES WERE
IMPLEMENTED UNDER THE AEGIS OF THE BANKING SECTOR SUPERVISORY AUTHORITIES, AND TO THE KNOWLEDGE OF THE PUBLIC AUTHORITIES. ON
20, SEPTEMBER 2010, AFTER SEVERAL YEARS OF INVESTIGATION, THE FRENCH COMPETITION AUTHORITY RULED THAT THE JOINT IMPLEMENTATION
AND THE SETTING OF THE AMOUNT OF THE CEIC AND OF TWO ADDITIONAL FEES FOR RELATED SERVICES WERE IN BREACH OF COMPETITION LAW. THE
AUTHORITY FINED ALL PARTICIPANTS TO THE AGREEMENT (INCLUDING THE BANQUE DU FRANCE) A TOTAL OF APPROXIMATELY EUR 53.5 MILLION.
SOCIÉTÉ GÉNÉRALE WAS ORDERED TO PAY A FINE OF EUR 385 MILLION AND CREDIT DU NORD, ITS SUBSIDIARY, A FINE OF EUR 7 MILLION. HOWEVER
IN ITS 23 FEBRUARY, 2012 ORDER, THE FRENCH COURT OF APPEAL, TO WHICH THE MATTER WAS REFERRED BY ALL THE BANKS INVOLVED EXCEPT
BANQUE DU FRANCE, HELD THAT THERE WAS NO COMPETITION LAW INFRINGEMENT ALLOWING THE BANKS TO RECOUP THE FINES PAID. ON 14 APRIL
2015, THE SUPREME COURT QUASHED AND ANNULLED THE COURT OF APPEAL DECISION ON THE GROUNDS THAT THE LATTER DID NOT EXAMINE THE
ARGUMENTS OF TWO THIRD PARTIES WHO VOLUNTARILY INTERVENED IN THE PROCEEDINGS. THE CASE WAS HEARD AGAIN ON 3 AND 4 NOVEMBER
2016 BY THE PARIS COURT OF APPEAL BEFORE WHICH THE CASE WAS REMANDED. ON 21 DECEMBER 2017, THE COURT OF APPEAL CONFIRMED THE
FINES IMPOSED ON SOCIÉTÉ GÉNÉRALE AND CREDIT DU NORD BY THE FRENCH COMPETITION AUTHORITY. ON 22 JANUARY 2018, SOCIÉTÉ GÉNÉRALE
AND CREDIT DU NORD FILED AN APPEAL BEFORE THE SUPREME COURT AGAINST THIS DECISION. ON 29 JANUARY THE SUPREME COURT PARTIALLY
QUASHED THE ORDER THE PARIS COURT OF APPEAL DECISIONS OF 21 DECEMBER 2017 AND ORDERED THE REMAND OF THE CASE TO THIS SAME
COURT OF APPEAL BUT DIFFERENTLY COMPOSED. ON 13 MARCH 2020, SOCIÉTÉ GÉNÉRALE AND CREDIT DU NORD FILED A NEW APPEAL BEFORE THE
PARIS COURT OF APPEAL AGAINST THE DECISION OF THE FRENCH COMPETITION AUTHORITY. ON JUNE 28, 2023, THE FRENCH SUPREME COURT
UPHELD THE PARIS COURT OF APPEALS JUDGMENT WHICH REVERSED THE 2010 DECISION BY THE FCA FINING SG, FINDING THAT THE FCA FAILED TO
PROVE THE FIRMS HAD ENGAGED IN ANTI-COMPETITIVE PRICING.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIÉTÉ GÉNÉRALE S.A.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
ICE CLEAR CREDIT LLC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
04/09/2018
 Exact
 Explanation
If not exact, provide explanation:

4.
Docket/Case Number:
2018-404B-009
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other
Other Product Types: 
CREDIT DEFAULT SWAP
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ICE CLEAR CREDIT LCC (ICE CLEAR) ISSUED A $10,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR 18 MISSED END OF DAY CREDIT DEFAULT SWAP
PRICING SUBMISSIONS IN MARCH 2018. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE
CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT AMOUNTS ARE ISSUED ACCORDING TO A "PER MISSED PRICE" SCHEDULE, SUBJECT TO
CERTAIN DAILY MAXIMUMS. THE ASSESSMENT BECAME FINAL ON APRIL 24, 2018, AFTER SG DETERMINED NOT TO SEEK WAIVER.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Other
11. Resolution Date (MM/DD/YYYY):
04/24/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 10,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR
MISSED SUBMISSIONS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ICE CLEAR ISSUED AN ASSESSMENT OF $10,000, WHICH WAS CALCULATED ACCORDING TO ITS RULE 702(E) SCHEDULE OF ASSESSMENTS FOR MISSED
SUBMISSIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.

Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
SOCIETE GENERALE SA
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FINANCIAL SERVICES COMMISSION (KOREA)
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
11/20/2024
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2025-69
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 

7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE FINANCIAL SERVICES COMMISSION ("FSC") ISSUED A FINAL NOTICE OF PENALTY AGAINST SOCIETE GENERALE, FINDING THAT BETWEEN OCTOBER
12, 2021 AND DECEMBER 23, 2022, SOCIETE GENERALE VIOLATED SHORT SELL REGULATIONS UNDER ARTICLE 180, PARAGRAPH 1, ITEM 1 OF THE
FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT, ARTICLE 429-3, PARAGRAPH 1 OF THE SAME ACT, ARTICLE 379, PARAGRAPH 2 OF THE
ENFORCEMENT DECREE OF THE SAME ACT, ARTICLE 25, PARAGRAPH 3, AND APPENDIX 2 OF THE CAPITAL MARKET INVESTIGATION BUSINESS
REGULATIONS, BY SUBMITTING A SHORT SELL ORDER FOR 27,784 SHARES IN THREE STOCKS WITHOUT OWNING OR COVERING THE SHARES.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Order
11. Resolution Date (MM/DD/YYYY):
03/12/2025
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 520,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
N/A
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE FSC ISSUED A FINAL NOTICE OF PENALTY AGAINST SOCIETE GENERALE, FINDING THAT BETWEEN OCTOBER 12, 2021 AND DECEMBER 23, 2022,
SOCIETE GENERALE VIOLATED SHORT SELL REGULATIONS UNDER ARTIC E 180, PARAGRAPH 1, ITEM 1 OF THE FINANCIAL INVESTMENT SERVICES AND
CAPITAL MARKETS ACT, ARTICLE 429-3, PARAGRAPH 1 OF THE SAME ACT, ARTIC E 379, PARAGRAPH 2 OF THE ENFORCEMENT DECREE OF THE SAME
ACT, ARTIC E 25, PARAGRAPH 3, AND APPENDIX 2 OF THE CAPITAL MARKET INVESTIGATION BUSINESS REGULATIONS, BY SUBMITTING A SHORT SELL
ORDER FOR 27,784 SHARES IN THREE STOCKS WITHOUT OWNING OR COVERING THE SHARES.