Disclosures

Our connected brokers or banks are required by regulators to periodically provide you with certain disclosures and other information. Accordingly, our connected brokers or banks, eg. Interactive Brokers, are delivering the following documents to you:

Regulatory Notices and Risk Disclosures
DisclosureDate last updated
After-Hours Trading Risk Disclosure02. June 2015
Agreement and Limited Power Of Attorney For Participation in Interactive Brokers Hong Kong Ltd Stock Yield Enhancement Program10. February 2016
Agreement and Limited Power Of Attorney For Participation in Interactive Brokers Stock Yield Enhancement Program09. April 2014
Arbitration Agreement (Futures)28. November 2012
ASX Explanatory Booklet: Understanding Options Trading25. January 2013
Australian Best Execution Policy - Retail Clients14. December 2011
Australian Best Execution Policy - Wholesale Clients14. December 2011
Canadian Client Consent of Electronic Delivery05. March 2004
Canadian Client Relationship Disclosure Information11. February 2016
Canadian Shareholders Communication Instruction Form12. February 2008
Certification Regarding Correspondent Accounts for Foreign Banks24. April 2009
CFTC Risk Disclosure Statement - Appendix A to Rule 1.5509. April 2014
CFTC Risk Disclosure Statement - Rule 1.55(b)09. April 2014
CFTC Rule 15.05 Notice to Non-U.S. Traders23. January 2013
Customer Consent to Receive Mutual Fund Information Electronically08. June 2010
Day Trading Risk Disclosure Statement05. May 2009
Disclosure Concerning Auto Trading Service Providers29. August 2013
Disclosure of Cash and Margin Account Trading Requirements, and Automatic Liquidation05. March 2004
Disclosure of Risks of Margin Trading10. March 2015
Disclosure Regarding IB's Business Continuity Plan09. May 2013
Disclosure Regarding IB's Procedures for Allocating Equity Option Exercise Notices31. May 2007
Disclosure Regarding Interactive Brokers Pre-Borrow Program02. October 2012
Distressed Bonds17. June 2010
Documents d'information du Québec sur les contrats à terme et les options - French05. March 2004
EMIR Notice22. January 2014
EMIR Overview22. January 2014
Euronext LIFFE Risk Disclosure15. April 2008
Financial Services Guide Interactive Brokers (U.K.) Limited12. January 2016
FINRA Investor Protection Information Resources07. January 2013
FINRA/NFA Standardized Risk Disclosure Statement for Security Futures Contracts26. August 2009
French Risk Disclosures21. February 2008
Hong Kong Acknowledgements12. February 2014
Hong Kong IB-HK Acknowledgements (for residents of Hong Kong)04. January 2016
Hong Kong Client Money Standing Authority01. June 2007
Hong Kong Client Standing Authority01. June 2007
Hong Kong Regulatory Info*09. May 2013
Hong Kong Risk Disclosure22. May 2012
IB Disclosure Pursuant to FINRA Rule 5350 Regarding Stop and Stop-Limit Orders in U.S. Listed Stocks and Warrants18. October 2013
IBUK Disclosure under the Capital Requirements IV Directive15. April 2015
IB UK Order Execution Policy31. October 2007
IIROC Arbitration Agreement23. April 2009
IIROC Risk Disclosure Statement23. April 2009
Important Characteristics and Risks of Participating in Interactive Brokers Fully-Paid Securities Lending Programs04. November 2015
Important Characteristics and Risks of Participating in Interactive Brokers Hong Kong Limited Fully-Paid Securities Lending Program10. February 2016
Interactive Brokers Group Cyber Security Notice24. March 2016
Interactive Brokers Group Privacy Notice16. January 2014
Interactive Brokers Hong Kong Limited Client Money Standing Authority03. June 2015
Interactive Brokers Hong Kong Limited Client Securities Standing Authority03. June 2015
Interactive Brokers Hong Kong Limited Disclosure of Risks Of Margin Trading03. June 2015
Interactive Brokers LLC Australian Financial Services Guide12. January 2016
Interactive Brokers LLC Australian Product Disclosure Statement for Exchange Traded Options12. February 2014
Interactive Brokers LLC Australian Product Disclosure Statement for Foreign Exchange Contracts11. April 2016
Interactive Brokers LLC Australian Product Disclosure Statement for Futures05. February 2015
Interactive Brokers LLC Firm Specific Disclosure Document pursuant to CFTC Rule 1.55(k) and NFA Rule 2-36(n)29. January 2016
Interactive Brokers LLC General Disclosure on Mutual Funds01. July 2015
Interactive Brokers Risk Disclosure for Bond Trading09. January 2013
Interactive Brokers (U.K.) Limited - Remuneration Policy18. March 2016
Interactive Brokers (U.K.) Limited MiFID Professional Client Notification and Order Execution Policy Consent17. April 2013
Interactive Brokers (U.K.) Limited MiFID Retail Client Notification and Order Execution Policy Consent17. April 2013
IRA Documents19. February 2016
ISE Disclosure for Option Orders Over 500 Contracts22. May 2012
Japanese Risk Disclosure24. February 2011
Maine Risk Disclosure05. March 2004
Master Securities Lending Agreement for Interactive Brokers Hong Kong Limited Fully-Paid Lending Program10. February 2016
MSRB Investor Brochure26. May 2010
Municipal Risk Disclosure16. June 2015
Notice of Clearing Arrangement for IB Canada Customers09. February 2010
Notice of Execution and Clearing Agreement and Description of Contractual Relationship Between IB UK and IB LLC17. April 2013
Notice Regarding NFA's BASIC System21. April 2009
Notice Regarding Pre-Arranged Trading On U.S. Futures Exchanges16. June 2015
Notice Regarding USA PATRIOT Act Section 31112. June 2015
OCC Risk Disclosure03. November 2014
Order Handling Policies & Procedures on Multiple Canadian Equities Marketplaces12. June 2015
Order Routing & Payment for Orders Disclosure02. June 2015
PAIB Agreement21. June 2006
Penny Stock Trading Risk Disclosure13. April 2015
Portfolio Margin Disclosure16. June 2015
Pricing Disclosure under the European Market Infrastructure Regulation ("EMIR")15. August 2014
Quebec Day Trading Risk Disclosure23. April 2009
Quebec Risk Disclosure05. March 2004
Recertification Regarding Corresponding Accounts for Foreign Banks24. April 2009
Risk Disclosure and Supplemental Agreement for Security Futures Trading at Interactive Brokers25. January 2013
Risk Disclosure Regarding Leveraged and Inverse Funds05. August 2010
Risk Disclosure Statement For Forex and Multi-Currency Accounts11. January 2016
Risk Disclosure Statement for Trading CFDs With Interactive Brokers (U.K.) Limited ("IB UK")10. March 2016
Risk Disclosure Statement for Trading OTC Precious Metals with Interactive Brokers (U.K.) Limited ("IB UK")14. January 2011
Risks of Trading Equity Options and Terms and Conditions for Trading Equity Options21. April 2009
Shortened (T+2) Settlement for Stock Purchases28. October 2014
Singapore Risk Disclosure21. February 2008
Spousal Consent Form07. August 2009
Supplemental Agreement & Disclosures for Trading on the Australian Stock Exchange Limited23. August 2007
Swiss Bankers Association Special Risks in Securities Trading17. February 2012
Trading on ASX 24 Customer Agreement22. August 2012
Trustee Certification07. July 2015
Advisor Disclosure Packages
DisclosureDate last updated
IB LLC Agreements and Disclosures Package22. January 2016
IB UK Agreements and Disclosures Package22. January 2016
Institutional Disclosure Packages
DisclosureDate last updated
IB LLC Agreements and Disclosures Package22. January 2016

Please make sure to check this website frequently for announcements and information, particularly regarding the functionalities of the trading platform, and services, policies, news, and regulatory information. If you have any questions in relation to the information provided this website, please contact our Customer Service using the information available at https://www.agora-direct.com/uk/contact.

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