Disclosures and Policies

United States

• Annual Regulatory Disclosures
• Swap Dealer Disclosures
• SEC Rule 605 Archived Reports
• SEC Rule 606 Most Recent Reports
• SEC Rule 606 Disclosure
• CF Secured LLC Disclosures
• CFCO Regulation Best Interest Form CRS
• CF Secured Regulation Best Interest Form CRS
• Notice to Permitted Clients (All Canadian Provinces) CFCO
• Capital Introduction Group – General Disclosures

Financial Disclosures

• Daily Segregation Statement
• Daily Secured 30.7 Statement Disclosure
• Net Capital Summary
• Year End Certified Financial Statement Disclosure
• Month End Segregated Secured 30.7 Statements Disclosure
• Monthly FOCUS Report

Canada

• Best Execution Disclosure – Apr 2024
• Conflicts of Interest Statement

United Kingdom

Terms of Business

• Standard Terms of Business
• Assisted Reporting Terms

Electronic Access and Trading Terms

• Electronic Access and Trading Terms

Policies

• Best Execution Policy
• Conflicts of Interest Policy

Other Key Documents

• CFE MIFIDPRU 8 Disclosures
• Cantor Fitzgerald Europe (CFE) Legal & Regulatory Disclosures

Ireland

For more information on Cantor Fitzgerald Ireland, please visit www.cantorfitzgerald.ie

Japan

For more information on Cantor Fitzgerald Japan, please visit Japan Page ( 日本 )

Environmental, Social, and Governance (ESG)

US

• Conflicts of Interest Policy
• Risk Management Policy
• Compliance Policy
• Cyber Security Policy

UK

• CFE and CFSLLP Modern Slavery Act Statement
• Conflicts of Interest Policy
• Risk Management
• Remuneration Policy
• Cyber Security Policy
• Data Protection Policy
• Compliance Policy