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 Annual Top 5 Execution Venues and Brokers Reports MiFID II Quarterly Quality of Execution Reports ICBCS Gender Pay Gap Report 2022 ICBCS Systematic Internaliser Commercial Policy ICBCS Tax Strategy 2023/2024 Conflicts of Interest Policy
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
ICBC Standard Bank Plc Note Issuance Programme Deed of Convernant 20 June 2016 Deed of Convernant 5 July 2017 Deed of Convernant 27 July 2018 Deed of Convernant 4 July 2019 Deed of Convernant 7 July 2020 Deed of Convernant 7 July 2021 Deed of Convernant 17 Jan 2022 Deed of Convernant 11 July 2022 Deed of Convernant 10 July 2023
|