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:
Attn: Thomas D. Shpetner
One Liberty Plaza, 5th Floor
New York, NY 10006
Compliance Department (212) 588-4090
Global Regulatory Disclosures
Business Continuity Plan
Customer Identification Program
IMPORTANT INFORMATION YOU NEED TO KNOW ABOUT OPENING A NEW ACCOUNT
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person or entity that opens an account.
This notice answers some questions about ITG’s Customer Identification Program.
WHAT TYPES OF INFORMATION WILL I NEED TO PROVIDE?
When you open account at ITG Inc., we are required to collect the following information:
– Legal name
– Business address
– Tax identification number
– Other information that will allow us to identify you
We may request additional identifying documents, such as principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, partnership agreement or trust agreement.
U.S. Department of the Treasury, Securities and Exchange Commission, FINRA and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information.
WHAT HAPPENS IF YOU DON’T PROVIDE THE INFORMATION REQUESTED OR YOUR INSTITUTION’S IDENTITY CAN’T BE VERIFIED?
ITG Inc. may not be able to open an account or carry out transactions for your firm. If ITG Inc. has already opened an account for your firm, we may have to close it.
We thank you for your patience and hope that you will support the financial industry’s efforts to deny terrorists and money launderers access to America’s financial system.
Supplemental Brokerage and Trading Terms of Service
Supplemental RFQ-Hub Service Terms
In accordance with the User Agreement or Customer Agreement between ITG and your firm (the “Agreement”), the following supplemental RFQ-hub Service terms (“Supplemental RFQ-hub Service Terms”) are incorporated into and merged with the Agreement. All capitalized terms not defined herein shall have the meanings set forth in the Agreement, and references herein to “User” shall also be deemed to refer to “Customer”. By using the RFQ-hub Service, User confirms its acceptance of these Supplemental RFQ-hub Service Terms.
ITG retains control over the form and content of the RFQ-hub Service and is permitted to change either or both at any time, in its sole discretion. Without limiting the generality of the previous sentence, ITG is permitted to modify the data format and the contents of the RFQ-hub Service. Where practicable, such modifications will be communicated to User within a reasonable timeframe (through the RFQ-hub Service or otherwise) if they require User to make programming or system changes. Any such changes are User’s responsibility but ITG will use commercially reasonable efforts to make available support and relevant documentation. User acknowledges that other users of the RFQ-hub Service rely on User’s acceptance of these Supplemental RFQ-hub Service Terms.
1. Use of the RFQ-hub Service.
(a) User undertakes to use the RFQ-hub Service solely for its own individual benefit for the purpose of bona fide dealing. User may not use the RFQ-hub Service to obtain price information unless it is using such service only for bona fide purposes. Without limiting the generality of the previous sentence, User will not make available, transfer, distribute or resell, directly or indirectly, with or without charge, any information or data contained in the RFQ-hub Service to any third party.
(b) Other than as an internal record solely for User’s use, User may not use the RFQ-hub Service or the information contained therein to construct or store a database of any kind.
(c) User must not allow any third party to access the RFQ-hub Service.
(d) User will use the RFQ-hub Service in accordance with any manual, guide, recommendation or technical specification issued by ITG from time to time.
(e) Time validity of quotes can be adjusted down to 0 minutes by a sell-side user. Quotes are said to be “live” as long as time validity is greater than 0 and can be withdrawn until the deal is acknowledged by the applicable sell-side user. Buy-side users can ask for a price refresh at any point after a quote expires. Sell-side users are committed to a transaction once the buy-side user has independently arranged to accept the relevant live quote and the sell-side user has confirmed that the buy-side’s acceptance is acknowledged. Final levels (based on market movements) are sent by the sell-side user in accordance with buy-side user’s instructions. Where a transaction is for a listed contract, such transaction will only be complete when the sell-side user confirms to the buy-side user that the transaction has been executed on the relevant exchange.
2. Support. Support for the RFQ-hub Service is provided by e-mail and telephone. For assistance please e-mail RFQfirstname.lastname@example.org or call +33 (0)1 82 83 70 10 from 7:30AM to 6PM London time or +852 3405 3788 from 7:30AM to 5:30PM Hong Kong time.
3. Security. User will immediately notify ITG at RFQemail@example.com of any known or suspected unauthorised use of its account, or any known or suspected breach of security, including loss, theft, or unauthorised disclosure of information.
4. No Advice. Each User will rely on its own judgment in determining whether to enter into a transaction and no content accessible via the RFQ-hub Service (including any chat function) will be considered research or investment, tax or legal advice.
5. Agreements between Users. The execution, clearing and settlement of transactions in connection with the use of the RFQ-hub Service, and any disputes arising out of or related to such matters, are governed by separate agreements between User and other users and Applicable Law. ITG is not a party to such agreements. The RFQ-hub Service does not include any services in respect thereof.
6. RFQ Volumes. A buy-side user is permitted to send as many requests for quote (each an “RFQ”) as it wishes, provided, however, that an individual RFQ may not be sent to more than 5 sell-side users.
Asia Pacific Regulatory Disclosures
Canada Regulatory Disclosures
Securities products and services provided to Canadian investors are offered by ITG Canada Corp., member of the Investment Industry Regulatory Organization of Canada (www.IIROC.ca) and the Canadian Investor Protection Fund (www.CIPF.ca). ITG Canada Corp. is registered as an Investment Dealer in the provinces of Ontario, Quebec, British Columbia, Alberta, Saskatchewan, Manitoba, New Brunswick and Nova Scotia. ITG Canada Corp. is a subsidiary of Investment Technology Group, Inc.
MATCHNow® is an Alternative Trading System operated by TriAct Canada Marketplace LP (“TriAct”), member of the Investment Industry Regulatory Organization of Canada and Canadian Investor Protection Fund. TriAct is registered as an Investment Dealer in the provinces of Ontario and Alberta, and exempt from registration as a dealer in the provinces of Quebec, British Columbia, Saskatchewan, Manitoba, New Brunswick, Nova Scotia, Newfoundland and Labrador. TriAct is a wholly owned subsidiary of ITG Canada Corp.
Disclosures of Related Registrants
Order Handling and Execution
Anti-Money Laundering, Anti-Terrorist Financing and Sanctions Statement
Disclosure Statements for Futures and Options
Circuit Breaker Halt
Complaint Resolution Process
Getting Help with your Complaint
Europe Regulatory Disclosures
ITG® is a global brand that, in Europe, refers to ITG Ventures Limited, registered in Ireland No. 295549 (“ITGVL”); Investment Technology Group Limited, registered in Ireland No. 283940 (“ITGL”); Investment Technology Group Europe Limited, registered in Ireland No. 283939 (“ITGEL”). The registered office of ITGVL, ITGL and ITGEL is Block A, Georges Quay, Dublin 2, Ireland. ITGL and ITGEL are authorised and regulated by the Central Bank of Ireland. ITGL operates POSIT®, the multilateral trading facility. ITGEL operates a branch in London, England (No. BR004642) which is registered with the UK Financial Conduct Authority and a branch in Paris, France (No. 501891477) which is registered with the Banque de France.
AlterNet (UK) Limited Pillar 3
AlterNet (UK) Limited Order Execution Policy
POSIT Market Parameters
POSIT Market Notice
Order Execution Policy for ITG in Europe
ITGL Pilar III Disclosures
European POSIT Universe file