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On this page you will find important regulatory and disclosure information that will affect your trading experience with ICBC Standard Bank. Please read carefully and if you have any questions, please contact your Account Executive.
·Block Trade Disclaimer
·ICBCS-Base Metals Trading – Jan 2021
·Trading Practices and Information - Fixed Income, Currency and Commodity Products
·ICBCS Client Order Execution Policy and List of Execution Venues
·MiFID II Ex-Ante Costs Disclosure
·MiFID II Annual Top 5 Execution Venues and Brokers Reports
·MiFID II Quarterly Quality of Execution Reports
·ICBCS Systematic Internaliser Commercial Policy
·ICBCS UK 2021 Gender Pay Gap Report
·ICBCS Tax Strategy 2021/2022
·Conflicts of Interest Policy
·IBOR Transition FAQs
United States
·Financial Industry Regulatory Authority (FINRA) www.finra.org
·Securities Investor Protection Corporation (SIPC) www.sipc.org
·BCP Disclosure Statement for ICBC Standard Securities Inc
·US Confirmations Standard Terms and Conditions for Fixed Income
·U.S Confirmations CTM Disclaimers for and Introducing Broker
·ICBC Standard Bank Plc Global USA Patriot Act Certification
·ICBC Standard Bank Plc - Wolfsberg Questionnaire
·Third Party Research Disclosures
·Dodd Frank
·ICBC Standard Bank W-8BEN-E
Asia
·Singapore: Regulated by the Monetary Authority of Singapore
·MAS Interest Rate Benchmarks Transition FAQs
Automatic Exchange of Information
·ICBC Standard Bank – Self Certification
Declarations
·ICBCS Conduct Declaration for Third Parties
·Responsible Sourcing of Precious Metals Declaration
·Financial Services Compensation Scheme
Note programme
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