Financial and Regulatory Customer Notices

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 and Credit Suisse AG, Dublin Branch's conflicts of interest policy are available here:

• Summary Conflicts Policy (PDF)

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 and Credit Suisse AG, Dublin Branch.

• MiFID II – Cost and Charges

Complaints Procedure

In relation to Credit Suisse International, Credit Suisse Securities (Europe) Limited, Credit Suisse AG, London Branch and Credit Suisse AG Dublin Branch, 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:

• Complaints Policy

General Clearing Member

• EMIR and MiFID II Direct and Indirect Clearing Disclosures

GM/ITS Product Governance Approval Process

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

• Institutional Product Approval Process (PDF)
• Retail Product Approval Process (PDF)

Client Order Execution Policy

Information relating to the execution venues (Regulated Markets, MTFs, OTFs and SIs) at an asset class level that Credit Suisse International, Credit Suisse Securities (Europe) Limited, Credit Suisse AG, London Branch and Credit Suisse AG, Dublin Branch place significant reliance on when complying with our Client Order Execution Policy.

• Client Order Execution Policy (PDF)
• MiFID II Best Execution Reports

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:

• FINRA Rule 4340
• FINRA Rule 5270
• FINRA Adopts New Rule 5320 – Prohibition Against Trading Ahead of Customer Orders
• Important Notice to Certain Customers of Credit Suisse Securities (USA) LLC and Credit Suisse Securities (Europe) Limited Regarding Customer Asset Protection Company ("CAPCO")
• Indonesia - Short Selling Notice
• Japan - Short Selling Notice
• Korea - Short Selling Notice
• SEC Adopts Final Rule Enhancing Delivery Requirements on Sales of All Equity Securities to Protect Against Naked Short Selling Abuses
   
• New Account Opening Procedures (PDF)
• Business Continuity Planning (PDF)
• ERISA Section 408(b)(2) Disclosure for Cash Equities Clients (PDF)
• CSSU Clearing Member Disclosure Statement (Indirect Clearing - MiFIR) (PDF)
• CSSU Direct Client Disclosure Statement (Indirect Clearing - MiFIR) (PDF)
• Disclosure of Futures Commission Merchant Material Conflicts of Interest (PDF)
• Dodd-Frank Act Title VII Business Conduct Disclosures

CFTC Rule 1.55 Information

• CFTC Rule 1.55(k) FCM Specific Disclosure Information (Segregated / Secured / Sequestered) (PDF)
• For information about CSSU's capital level, please refer to the FCM Capital Report on the NFA's website here.
• Additional financial information on all FCMs is also available on the CFTC's website here.
• The following information relates to Credit Suisse Securities (USA) LLC FCM Specific Calculated Value Financial Information (including segregated / secured / sequestered calculations and financial statement information): 
  • Click here to view Credit Suisse Securities (USA) LLC FCM Specific Calculated Value
    Daily reports
  • Click here to view Credit Suisse Securities (USA) LLC FCM Specific Calculated Value
    Monthly reports
  • Click here to view Credit Suisse Securities (USA) LLC FCM Specific Calculated Value
    Annual reports

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

• Client Valuations Disclaimers

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: 

• Privacy Statement

Summary Allocation Policy

Summary of Credit Suisse Securities (Europe) Limited’s policy for allocation of fixed income securities.

• Summary Allocation Policy (PDF)