Disclaimers and Legal Information

Please read these Disclaimers and Legal Information before using this website.

BGC PARTNERS

PUBLIC FILINGS, PARTNERSHIP AND CORPORATE GOVERNANCE INFORMATION

Public Filings

To view BGC Partners, Inc.’s filings with the Securities and Exchange Commission, including annual (10-K), quarterly (10-Q) and currents reports (8-K), proxy statements (DEFA 14A) and registration statements (S-1, S-3, S-4, S-8, prospectuses, etc.) , please access the following link: http://ir.bgcpartners.com/financial-reports-filings/sec-filings/BGC-Filings/default.aspx

Long Term Incentive Plan and Partnership Documents

Corporate Governance

This code of business conduct and ethics is available in the following languages:

UNDERSTANDING BGC BROKERING SERVICES

BGC ELECTRONIC TRADING FACILITY RULE BOOK

BGC FINANCIAL, L.P.

BGC Financial, L.P. Annual Regulatory Disclosures

BGC Financial, L.P.Privacy Policy

CFTC Rule 1 55(k) Firm Specific Disclosure Statement

CFTC Rule 1 55(b) Risk Disclosure Statement

SEC Order Routing Disclosure – Rule 605 and 606 reports

USA Patriot Act Section 311

USA Patriot Act Section 313

Foreign Bank Client Certification

USA Patriot Act Section 326

MINT BROKERS

Mint Brokers Privacy Policy

Mint Brokers Annual Regulatory Disclosures

CFTC Rule 1 55(k) Firm Specific Disclosure Statement

CFTC Rule 1 55(b) Risk Disclosure Statement

BGC CAPITAL MARKETS (HONG KONG) LIMITED & BGC SECURITIES (HONG KONG) LLC

BGCHK Terms of Business

BGC BROKERS, L.P.

BGC Brokers L.P. Standard Terms of Business

Where a service and/or information is provided by BGC in the United Kingdom, it has been approved by BGC Brokers L.P. whose address is One Churchill Place, Canary Wharf E14 5RD. BGC Brokers L.P. is authorised and regulated by the Financial Conduct Authority. Their FCA Register Numbers is 454814 respectively. Access to the FCA Register can be gained via the following link: www.fsa.gov.uk/register/. The investment services displayed on the BGC website are not available to any UK “Retail Client” (as defined by the Financial Conduct Authority). BGC does not deal with or for Retail Clients. To receive a copy of the Pillar 3 disclosures or Country-by-Country Reporting for BGC Brokers L.P., please email: compliancebgcuk@bgcpartners.com.

BGC PARTNERS MENKUL DEĞERLER A.Ş.

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Definitions:

BGC –BGC Brokers, L.P. or any branch thereof located in the EEA.

Execution Venue – A regulated market, an MTF, a systematic Internaliser, or a market maker or other liquidity provider or an entity that performs a similar function in a third country.

Financial Instruments – Instruments specified in Section C of Annex I to MiFID.

MiFID – The European Parliament and Council Directive on markets in financial instruments (no. 2004/39/EC).

Multilateral Trading Facility (MTF) – A multilateral system, operated by an investment firm or a market operator, which brings together multiple third party buying and selling interests in financial instruments – in the system and in accordance with non discretionary rules – in a way that results in a contract in accordance with the provisions of Title II of MiFID.

Dealing on Own Account – Trading against proprietary capital resulting in the conclusion of transactions in one or more financial instruments.

Professional Client – A client meeting the criteria laid down in paragraph 1 of Annex II of MiFID.

Regulated Market – A multilateral system operated and / or managed by a market operator which brings together or facilitates the bringing together of third party buying and selling interests in financial instruments in a way that results in a contract, in respect of the financial instruments admitted to trading under its rules and/or systems, and which is authorised and functions regularly and in accordance with the provisions of Title III of MiFID.

Systematic Internaliser – An investment firm which, on an organised, frequent and systematic basis, deals on own account by executing client orders outside a regulated market or an MTF.

Please note that system response and account access times may vary due to a variety of factors, including trading volumes, market conditions, system performance, and other factors.

The registered office of BGC Brokers L.P. is at 1 Churchill Place, London, E14 5RD.

The FCA register appears at http://www.fsa.gov.uk/register/. The FCA regulates the financial services industry in the United Kingdom and is located at 25 The North Colonnade, Canary Wharf, London, E14 5HS.

NAME FCA No. Company No. VAT No.
BGC Brokers L.P. 454814 LP011453 577 406809
Tower Bridge International Services L.P. N/A LP011810 577 406809

 

UK Tax Strategy

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