Regulatory Disclosures

FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.

Virtu ITG LLC, Virtu Americas LLC, Virtu AlterNet LLC and Virtu Financial Capital Markets LLC are members of 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
Chief Compliance Officer
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
VFSI RTS 27 Execution Quality Disclosures
RTS 28 Best Execution Disclosures
UK Modern Slavery Act Statement

Virtu 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

Virtu ITG Asia Pacific Regulatory Disclosures

POSIT Guidelines Hong Kong
POSIT Information Australia

Virtu ITG Canada Regulatory Disclosures

Introduction

Securities products and services provided to Canadian investors are offered by Virtu ITG Canada Corp., member of the Investment Industry Regulatory Organization of Canada (www.IIROC.ca) and the Canadian Investor Protection Fund (www.CIPF.ca). Virtu 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. Virtu ITG Canada Corp. is a subsidiary of Virtu Financial, Inc.

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
Single Stock Circuit Breakers in Canada
Complaint Handling

Virtu ITG Canada Accessibility

Virtu ITG Europe Limited 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.

Virtu ITG UK Limited Regulatory Disclosures
POSIT MTF Rules
POSIT MTF Participant Manual
POSIT MTF Market Notice
POSIT MTF Universe file
POSIT MTF Guidance
POSIT MTF Fees
POSIT MTF FIX and Connectivity Guidance
POSIT RFQ Rules of Engagement
Virtu ITG Europe Limited Order Execution Policy
Virtu ITG Europe Limited Pillar III Disclosures
RTS 27 Disclosure
RTS 28 Disclosure
Virtu ITG Europe Limited Modern Slavery Statement
UK Tax Strategy Statement

Virtu 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
Virtu AlterNet LLC, 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 Virtu. As such, Virtu 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 Virtu 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.

© 2020 Virtu Financial, Inc. All rights reserved. Not to be reproduced or re-transmitted without permission. Any information and materials are for informational purposes and are not intended to be used to make trading or investment decisions, they are not intended as an offer to sell or the solicitation of an offer to buy any security or financial product, and are not intended as advice (investment, tax or legal). No guarantee or warranty is made as to the reasonableness of the assumptions or the accuracy of any information.

Securities products and services are offered by the following subsidiaries of Virtu Financial Inc. In the U.S.: Virtu ITG LLC o r Virtu Americas LLC, both FINRA and SIPC members. In Canada: Virtu ITG Canada Corp., member Canadian Investor Protection Fund (“CIPF”) and Investment Industry Regulatory Organization of Canada (“IIROC”), MATCHNow ® is a product offering of TriAct Canada Marketplace LP (“ TriAct ”), member CIPF and IIROC. TriAct is a wholly owned subsidiary of Virtu ITG Canada Corp. In Europe: Virtu ITG Europe Limited, registered in Ireland No. 283940 (“VIEL”) and also by Virtu Financial Ireland Limited, registered in Ireland No. 471719 (“VFIL”); the registered offices of VIEL and VFIL is Whitaker Court, Whitaker Square, Third Floor, Block C, Sir John Rogerson’s Quay, Dublin 2, Ireland); VIEL and VFIL are authorised and regulated by the Central Bank of Ireland. In Asia: Virtu ITG Hong Kong Limited (SFC License No. AHD810), Virtu ITG Singapore Pte Limited (CMS License No. 100138 1), and Virtu ITG Australia Limited (AFS License No. 219582).

Top