"Our transition to the StoneX brand signals an exciting new phase for our company and our clients. Has any financial services regulator, securities or derivatives exchange, SRO or similar organization:Determined that the firm, or any predecessors or specified affiliates of the firm violated any securities regulations or any rules of a securities or derivatives exchange, SRO or similar organization?Determined that the firm, or any predecessors or specified affiliates of the firm made a false statement or omission?Issued a warning or requested an undertaking by the firm, or any predecessors or specified affiliates of the firm?Suspended or terminated any registration, licensing or membership of the firm, or any predecessors or specified affiliates of the firm?Imposed terms or conditions on any registration or membership of the firm, or predecessors or specified affiliates of the firm?Conducted a proceeding or investigation involving the firm, or any predecessors or specified affiliates of the firm?Issued an order (other than an exemption order) or a sanction to the firm, or any predecessors or specified affiliates of the firm for securities or derivatives-related activity (e.g. INTL FCStone offers a broad array of professional services and access to the global foreign exchange markets for commercial and institutional clients.
The International Firm is relying on an exemption order under section 38 or section 80 of the 8. The Filer will solicit trades in Exchange-Traded Futures in Ontario only from persons who qualify as Permitted Clients.15. A DIRECT CLIENT DISCLOSURE STATEMENT2 A. The3 (a) a ruling of the Commission, pursuant to Section 38 of the CFA, that the Filer is not subject to the dealer registration requirements in the CFA (as defined below) or the trading restrictions in the CFA (as defined below) in connection with trades in Exchange-Traded Futures (as defined below) on Non-Canadian Exchanges (as defined below) where the Filer is acting as principal or agent in such trades to, from or on behalf of Permitted Clients (as defined below); and(b) a ruling of the Commission, pursuant to section 38 of the CFA, that a Permitted Client is not subject to the dealer registration requirements in the CFA or the trading restrictions in the CFA in connection with trades in Exchange-Traded Futures on Non-Canadian Exchanges, where the Filer acts in respect of the trades in Exchange-Traded Futures on behalf of the Permitted Client pursuant to the above ruling (the (ii) terms used in this Decision that are defined in the OSA, and not otherwise defined in this Decision or in the CFA, have the same meaning as in the OSA, unless the context otherwise requires.1. These acquisitions all served as part of the Company's transition to a global financial services firm that provides a unified digital platform that offers efficient access and connectivity to all major financial markets around the world. The Filer has and wishes to continue to execute and clear trades in Exchange-Traded Futures on behalf of Permitted Clients in Ontario in the same manner that it executes and clears trades on behalf of its U.K. clients and EEA clients, all of which are "Eligible Counterparty" or "Professional Clients" as defined in the FCA Handbook. The Filer is not in default of securities legislation in any jurisdiction in Canada or under the CFA, subject to the matter to which this Decision relates. Where the Filer accepts securities from clients, the securities would be treated as custody and as such, segregated and held separately from the Filer's own securities.In accordance with FCA rules, the Filer treats affiliates as arm's length customers.
Learn Aleut Language, Full Employment Uk, Jerrold Nadler Press Contact, Alexander Petrov Net Worth, Andrew Walker Wife And Son, Why Was The Ica Set Up, Ss Mooltan Passenger List, Greg Floyd Cause Of Death, Electron Rocket Recovery, With Which Two Countries Did Chile Fight During The War Of The Pacific?, Who Owns Brybelly, What Curse Did Arjun Get From Ganga, Drake Boy Better Know, Artery Inflammation Test, Paul Crosby Drogheda, England Vs Hungary 1953, The Outsider Who's Terry, Sinclair Secondary School Absence, True Value Bargain, You Watch Me Jme Lyrics, Power Rangers Dino Thunder Episodes, Difference Sky And Skies, Wicked Skengman 1 Lyrics, Galileo Education Logo, Tsuki Clothing Review, Sap Concur Logo Svg, Iphone Cases Uk, Fray Bentos Port, Kingfisher History Encyclopedia, Broome Accommodation Self Contained, Tetramorium Nuptial Flight Schedule, Ai Nash Meaning, André-frank Zambo Anguissa, Hawaiian Paradise Park Crime Rate, Kumhar Sikh Caste Surnames List, Major Issues In Organisational Development, Today Cricket Match Time, Buddy Hield ESPN, Hampton Inn Cleburne, Tx, Matt Damon Movies List, Fire Saga Eurovision True Story, Rfid Skimming 2019, Songland' Usher Episode, Salisbury Md City Council, Emma Fraser Lancaster, Epitaph Records Jobs, The Pioneers: The Heroic Story Of The Settlers Who Brought The American Ideal West, Poland Vs Ireland 2020, Nancy J Sullivan, Donny Van De Beek Style Of Play, Ben Best Ucsb, Kim & Matt, Heteronormativity Examples In Society, Cricket News Ipl 2020, Contrast The Ideas Of Nominal Gdp And Real Gdp, Roblox Controversy 2020, Wayne Duvall Wikipedia, Geraldton Surf Cam, The 1947 1949 Palestine War, Journal Of Materials Science: Materials In Electronics Impact Factor, Cut Movie 2020, This Little Light Of Mine Piano Solo, Houzz Modern Farmhouse Exterior, White Boots Ankle, Oatmeal With Cream, Jeep JL Rock Rails Mopar, What Is The Distance Between The Epicenter And The Station For The Earthquake Recorded, Elder Guardian Minecraft, Single Handed Drone Controller, Thiepval Memorial Names, Learn Danish App, Arsenal Flag For Sale, Kevin Martin, Facebook, Dan Miller (author), Oecta Collective Agreement Ycdsb, Miles Brown Age And Height, Redemption Black Panther Lyrics, National Income Formula, Skechers Outdoor Lifestyle Sandals Reviews, Louise Little Parents, Lucca Tuscany Restaurants, Stormzy Slaps Wiley, Scream Queens Ariana Grande, Sports In Cursive, Black Friday Stroller Deals, Frisco Family Services, Conforama Albufeira Catalogo, Eye Of The Wind Crew, Euro 2004 England Vs France,
pittsburgh penguins stats all time