Regulatory Disclosures
Table of Contents
Jefferies LLC
- Account Disclosures
- Account Disclosures – Introduced Customers
- Business Continuity Disclosure
- CFTC FCM Customer Notices and Disclosures
- Client Privacy
- Conflicts Disclosure Statement
- Customer Due Diligence Rule
- Customer Identification Program
- Electronic Delivery of Offering Materials in GSE Securities
- Exchange for Related Products (EFRPs) Notice
- FinSA Information Promoter Notice
- Fully Paid and Excess Margin Securities Lending Disclosure
- Health Plans Transparency in Coverage
- Jefferies’ Disclosure Regarding Auction Rate Securities
- Mark-Up/Mark-Down Disclosure Statement
- Risk Disclosure Statement Regarding Portfolio Margining
- Safety of Customer Assets
- SEC Rule 204 of Regulation SHO
- Section 311 Notice
- T+1 Securities Settlement (FAQ)
Jefferies (Australia) Pty Ltd
- Modern Slavery Act Compliance Statement 2023
- Modern Slavery Act Compliance Statement 2024
- Privacy Notice
- Whistleblower Policy
Jefferies (Australia) Securities Pty Ltd
- Order Execution Policy
- Privacy Notice
- Terms of Business
- Whistleblower Policy
- Regulatory Disclosure to Wholesale Clients
- Current on-market buy-backs and takeover bids
Jefferies Financial Services, Inc.
Jefferies GmbH
- Client Notification Regarding Short Selling Restrictions
- Conflicts of Interest Policy
- Complaints Handling Policy
- Costs and Charges Information Document
- Execution Venues and Brokers Information
- Jefferies EMEA Privacy Notice
- Order Execution Policy
- Quality of Execution Reporting (RTS 27 & 28)
- SI Commercial Policy – Equity/Equity Linked Instruments
- SI Commercial Policy – Non-Equity Instruments
- Terms of Business
- FinSA Information Promoter Notice
- Notice regarding Model 231 – Jefferies GmbH, Milan branch
- Code of Ethics – Jefferies GmbH, Milan branch
- Intragroup Margin Exemption Disclosure
Jefferies Hong Kong Limited
- Alternative Liquidity Pool (ALP) Guidelines of Third-Party Service Providers
- China Connect Terms of Business (November 2024)
- Order Execution Policy
- Terms of Business (October 2024)
- Privacy Notice
Jefferies India Private Limited
Jefferies International Limited
- Client Notification Regarding Short Selling Restrictions
- Complaints Handling Policy
- Costs and Charges Information Document
- Eligible Counterparty Client Consent Form
- Execution Venue List
- Jefferies EMEA Privacy Notice
- Modern Slavery Act Compliance Statement 2024
- Modern Slavery Act Compliance Statement 2023
- Professional Client Consent Form
- Order Execution Policy
- Quality of Execution Reporting (RTS 27 & 28)
- SI Commercial Policy – Non-Equity Instruments
- SI Commercial Policy – Equity/Equity Linked Instruments
- Conflicts of Interest Policy
- Terms of Business
- FinSA Information Promoter Notice
- Intragroup Margin Exemption Disclosure
JILC Limited
Jefferies (Japan) Limited
Jefferies LLC & Jefferies Investment Advisers LLC (“JIA”)
Jefferies Securities, Inc.
- Introducing / Carrying Broker Disclosure Statement
- Trade Matching Statement
- Best Execution Disclosure
Jefferies Singapore Limited
Leucadia Investment Management Limited
- FinSA Information Promoter Notice
- Order Execution Policy
- Quality of Execution Reporting (RTS 27 & 28)
- SRD II Disclosure Statement
Versito International S.A.