Compliance

Investment Protection Principles

Merrill Lynch & Co., Inc. and then New York State Attorney General Eliot Spitzer entered into an agreement in May 2002, in which Merrill Lynch agreed to adopt certain principles in the conduct of its investment banking business (the “Investment Protection Principles”). Many institutional investors have requested broker dealers to indicate whether they meet the principles as outlined in the agreement.

Please be advised that ITG Inc. and its affiliates 1) do not provide investment banking services and; 2) do not provide investment research services. Accordingly, ITG and its affiliates do not create a conflict of interest that the Investment Protection Principles were designed to address.

Financial Industry Regulatory Authority, Inc.

ITG Inc. is a member in good-standing with FINRA, the Financial Industry Regulatory Authority, Inc. The main FINRA telephone number is (301) 590-6500 and the website address is www.finra.org.

Securities Investor Protection Corporation

ITG Inc. is a member of Securities Investor Protection Corporation (“SIPC”). The SIPC telephone number is (202) 371-8300 and the website address is www.sipc.org

Customer complaints should be directed to the following:

ITG Inc.
Attn: Patrick Chi
4th Floor
380 Madison Avenue
New York, NY 10017

Compliance Department (212) 588-4000