Regulatory Disclosures

FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.

ITG Inc. and Virtu Americas LLC are members 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. and Virtu Americas LLC are members 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:

Matthew Levine
Associate General Counsel
Virtu Financial, Inc.
One Liberty Plaza, 6th Floor
New York, NY 10006

Compliance Department (212) 588-4090

Virtu Global Disclosures & Regulatory Reporting

Virtu Operating Business Subsidiaries

Virtu Customer Privacy Notice

Virtu Financial Ireland Limited

Introduction

When we begin business with a new client we send out a welcome pack containing important information about our services, some of which is required by law. The information referred to in this pack can be found below. We may update it from time to time.
Any questions? Email our legal team on legal-eu@virtu.com

Terms of Business
Execution Policy
Information About Us
Authorised Signatory List

Authorised Signatory List will be provided on request to legal-eu@virtu.com

Virtu Financial, Inc. SEC Filings
Financial Statements

Will be provided on request to legal-eu@virtu.com

Pillar 3 Disclosure

Virtu Financial Ireland Limited's Pillar 3 disclosures are available on written request to:

'The Compliance Officer'
Virtu Financial Ireland Limited
Whitaker Court, Whitaker Square
Third Floor, Block C
Sir John Rogerson's Quay
Dublin 2
Ireland

VFSI RTS 27 Execution Quality Disclosures

ITG Global Regulatory Disclosures

Business Continuity Plan
Customer Identification Program

IMPORTANT INFORMATION YOU NEED TO KNOW ABOUT OPENING A NEW ACCOUNTImportant 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

ITG Asia Pacific Regulatory Disclosures

POSIT Guidelines Hong Kong
POSIT Information Australia

ITG Canada Regulatory Disclosures

Introduction

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
Best Execution and Order Handling Disclosure
Anti-Money Laundering, Anti-Terrorist Financing and Sanctions Statement
Disclosure Statements for Futures and Options
Trade-Matching Statement
Circuit Breaker Halt
Complaint Handling

ITG Canada Accessibility

ITG Europe Regulatory Disclosures

Introduction

ITG® is a global brand that, in Europe, refers to Investment Technology Group Ventures Limited (ITGVL) (Registered in Ireland No. 295549), Investment Technology Group Limited (“ITGL”) (Registered in Ireland No. 283940) and/or its wholly owned subsidiary, Investment Technology Group Europe Limited (“ITGEL”) (Registered in Ireland No. 283939).

The registered office of these companies is First Floor, Block A, Georges Quay, Dublin 2, Ireland. ITGL is authorised and regulated by the Central Bank of Ireland. ITGL operates POSIT®, the multilateral trading facility. ITGL operates a branch in London, England (No. BR017810) which is registered with the UK Financial Conduct Authority and a branch in Paris, France (No. 480281609) which is registered with the Banque de France.

AlterNet (UK) Limited Pillar 3
AlterNet (UK) Limited Order Execution Policy
POSIT Rules
POSIT Participant Manual
POSIT Market Notice
European POSIT Universe file
POSIT Guidance
POSIT Fees
POSIT FIX Protocol
POSIT MTF FIX and Connectivity Guidance
Order Execution Policy for ITG in Europe
ITGL Pillar III Disclosures
Best Execution Disclosure 2017 Equity and Equity-Like Instruments
RTS 27 Disclosure
RTS 28 Disclosure
Investment Technology Group Limited Modern Slavery Statement

ITG United States Regulatory Disclosures

SEC Rule 204
Disclosure of ITG Inc Order Execution and Order Routing Information
Disclosure of ITG Derivatives LLC Routing Information
Regulatory Information for the US
AlterNet Securities, Inc. Regulatory Information

Email Disclosure and Disclaimers

Email Disclosure and Disclaimers

This e-mail message is for the named person’s use only.   The information contained in and accompanying this communication may be confidential, subject to legal privilege, or otherwise protected from disclosure, and is intended solely for the use of the intended recipient(s). If you receive this message in error, please immediately delete it and all copies of it from your system, destroy any hard copies of it and notify the sender.  You must not, directly or indirectly, use, disclose, distribute, print, or copy any part of this message if you are not the intended recipient.  No confidentiality or privilege is waived or lost by any mis-transmission.

This communication is for informational purposes only and has been obtained from sources believed to be reliable, but it is not necessarily complete and its accuracy cannot be guaranteed.  It is not intended as an offer or solicitation for the purchase or sale of any financial instrument or as an official confirmation of any transaction.  Moreover, this material should not be construed to contain any recommendation regarding, or opinion concerning, any security.  Any views expressed in this message are those of the individual sender, except where the message states otherwise and the sender is authorized to state them to be the views of any such entity.

E-mail messages are not a reliable means of communicating with ITG.  As such, ITG does not accept any responsibility for the contents of any electronic communication or for any delays, inaccuracies or omissions in the receipt of your instructions or in the transmission of orders or other information to ITG and disclaims all liability to the fullest extent permitted by applicable law for any loss or damage arising from any reliance on or use of this message in any way.

E-mail messages may contain computer viruses or other defects, may not be accurately replicated on other systems, or may be intercepted, deleted or interfered with without the knowledge of the sender or the intended recipient.  We make no warranties in relation to these matters.  Please note that we may intercept, monitor, and retain e-mail messages to and from our systems as permitted by applicable law.

ITG has implied consent from you as a member of the financial services community with whom we have already established a relationship through business discussions or dealings, or your email address was made available to ITG.  However, if you wish to stop receiving emails from ITG, please click here to unsubscribe.

Broker-dealer products and services are offered by: in the U.S., ITG Inc., member FINRA, SIPC; in Canada, ITG Canada Corp., member Canadian Investor Protection Fund (“CIPF”) and Investment Industry Regulatory Organization of Canada (“IIROC”); in Europe, Investment Technology Group Limited, registered in Ireland No. 283940 (“ITGL”) (the registered office of ITGL is Block A, Georges Quay, Dublin 2, Ireland).  ITGL is authorized and regulated by the Central Bank of Ireland; in Asia, ITG Hong Kong Limited (SFC License No. AHD810), ITG Singapore Pte Limited (CMS License No. 100138-1), and ITG Australia Limited (AFS License No. 219582).  All of the above entities are subsidiaries of Investment Technology Group, Inc.  MATCHNow® is a product offering of TriAct Canada Marketplace LP (“TriAct”), member CIPF and IIROC.  TriAct is a wholly owned subsidiary of ITG Canada Corp.

ITG® is a global brand that, in Europe, refers to (and this material is disseminated in Europe on behalf of) any of Investment Technology Group Ventures Limited (“ITGVL”) (Registered in Ireland No. 295549), Investment Technology Group Limited (“ITGL”) (Registered in Ireland No. 283940 with a share capital of £500,000), Investment Technology Group Europe Limited (“ITGEL”) (Registered in Ireland No. 283939), ITG Software Solutions (France) SAS (“ITGSSF”) (Registered in France No. 501 974 935 with a share capital of €521,900), or AlterNet (UK) Limited (“AUL”) (Registered in the United Kingdom No. 3791083). The registered office of ITGL, ITGEL and ITGVL is First Floor, Block A, Georges Quay, Dublin 2, Ireland and the  directors are M. Byrne, Y. Lovern, K. O’Doherty, G. Jones, R. Boardman (British), S. Vigliotti (American), B. Pomraning (American). The registered office of ITGSSF is 9 Place Vendôme, 75001 Paris, France. The registered office of AUL is Ropemaker Place, 25 Ropemaker Street, London EC2Y 9LY, United Kingdom.  ITGL is authorised and regulated by the Central Bank of Ireland. ITGL operates POSIT®, the multilateral trading facility. ITGL operates a branch in London, England (No. BR017810) which is registered with the UK Financial Conduct Authority and a branch in Paris, France (No. 480281609) which is registered with the Banque de France. ITGEL operates a branch in London, England (No. BR004642). The registered office of the ITGL London branch and the ITGEL London branch is Ropemaker Place, 25 Ropemaker Street, London EC2Y 9LY, United Kingdom. The registered office of the ITGL French Branch is 9 Place Vendôme, 75001 Paris, France.

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