Financial and Regulatory Customer Notices

Customer Notices

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Notice of proposed transfer of index administration roles from CSSEL to CSI
This Notice relates to Credit Suisse’s business of the administration of indices that constitute "benchmarks" for the purposes of the Benchmark Regulation.

Summary Conflicts Policy

Conflicts of Interest (10.1 General Terms) – Details in relation to Credit Suisse International, Credit Suisse Securities (Europe) Limited, Credit Suisse AG, London Branch, Credit Suisse AG, Dublin Branch, Credit Suisse Securities, Sociedad de Valores, S.A. and Credit Suisse (Deutschland) Aktiengesellschaft and conflicts of interest policy are available here:

Cost and Charges

MiFID 2 introduces wide ranging changes to the regulatory landscape. As part of these changes we are required to provide you with disclosure of any costs and associated charges relating to any investment services, ancillary services (Service) and/or financial instruments provided to you by Credit Suisse International, Credit Suisse Securities (Europe) Limited, Credit Suisse AG, London Branch, Credit Suisse AG, Dublin Branch, Credit Suisse Securities, Sociedad de Valores, S.A. and Credit Suisse (Deutschland) AG.

Complaints Procedure

In relation to Credit Suisse International, Credit Suisse Securities (Europe) Limited, Credit Suisse AG, London Branch, Credit Suisse AG Dublin Branch and Credit Suisse Securities, Sociedad de Valores, S.A. information regarding the process to be followed when handling a MiFID complaint, the complaints handling policy and contact details of the complaints management function is available here:

In relation to Credit Suisse Securities, Sociedad de Valores, S.A. information regarding the complaints process is available here:

In relation to Credit Suisse (Deutschland) Aktiengesellschaft information regarding the complaints process is available here:

General Clearing Member

GM/ITS Product Governance Approval Process

Information regarding the process followed in relation Credit Suisse International (CSi) manufactured products is available here:

Client Order Execution Policy

Client Order Execution Policy for Credit Suisse International, Credit Suisse Securities (Europe) Limited, Credit Suisse AG, London Branch, Credit Suisse AG, Dublin Branch, Credit Suisse Securities, Sociedad de Valores, S.A. and Credit Suisse (Deutschland) Aktiengesellschaft. Also included, where relevant, is report information relating to the execution venues (Regulated Markets, MTFs, OTFs and SIs) at an asset class level where the above entities place significant reliance when complying with best execution regulatory obligations.

CSSU maintains internal controls known as information barriers between its trading units. The information barriers are designed to prevent one trading unit from having knowledge of customer orders held by a different trading unit. With these barriers in place, one trading unit may hold a customer order while another trading unit, including the market making trading unit, executes an order for a Firm account that would satisfy the customer order.

The following documents provide additional information for our customers:

CFTC Rule 1.55 Information

The following disclaimer relates to Credit Suisse's prices and Net Asset Values published on Market Data Networks:

Disclosure of SEC Required Order Execution Information

Credit Suisse Securities (USA) LLC (Credit Suisse) has contracted with a vendor, VistaOne Regulatory Solutions, to prepare statistical reports in accordance with Securities and Exchange Commission (SEC) Rules 605 and 606. Public review of the monthly statistical reports in compliance with SEC Rule 605 and SEC Rule 606 is available on http://vrs.vista-one-solutions.com/.

Additional information regarding these SEC rules may be obtained from www.sec.gov or www.finra.org.

Data Protection

Information on how Credit Suisse International, Credit Suisse Securities (Europe) Limited, Credit Suisse AG, London Branch, Credit Suisse AG, Dublin Branch, Credit Suisse AG, Milan Branch, Credit Suisse (Deutschland) Aktiengesellschaft and Credit Suisse Securities, Sociedad de Valores, S.A. use information on people is set out here: 

Summary Allocation Policy

Summary of Credit Suisse Securities (Europe) Limited and Credit Suisse Securities, Sociedad de Valores, S.A.'s policy for allocation of fixed income securities.

Credit Suisse HOLT Equity Factor Indices

Index Rulebook and Compositions.

Credit Suisse GEM 10% Risk Control (ER) Index