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Legal & Regulatory

For services provided by TP ICAP entities incorporated in the United Kingdom, please refer to the following Terms of Business (pdf).
For services provided by TP ICAP (Europe) S.A in the EU, please refer to the following Terms of Business (pdf).
For services provided by TP ICAP (Dubai) Limited in the UAE, please refer to the following Terms of Business (pdf).
For services provided by TP ICAP entities within the APAC region, please refer to the following Terms of Business (pdf).
ICAP Energy AS Terms of Business (pdf).
ICAP Energy AS Spanish Branch Terms of Business (pdf).

Conflicts of Interest
Confidence in TP ICAP’s integrity to act on behalf of its customers is central to the relationship of trust we have with our customers. This means that when providing services, TP ICAP will always act in the customer’s best interests, putting customers’ interests ahead of its own. Please find our policy here (pdf).
ICAP Execution and Order Handling Policy (EMEA) (pdf)
Tullett Prebon Execution and Order Handling Policy (EMEA) (pdf)
Risk Disclosure Policy (pdf)
COEX Execution and Order Handling Policy (EMEA) (pdf)
PVM Execution and Order Handling Policy (EMEA) (pdf)

CRD IV ICAP Europe Ltd (xlsx)
ICAP Europe Country by Country Reporting Audit (pdf)
CRD IV ICAP Securities Ltd (xlsx)
ICAP Securities Ltd Country by Country Reporting Audit (pdf)
CRD IV iSwap Euro Ltd (pdf)
iSwap Euro Ltd Country by Country Reporting Audit (pdf)
ICAP Europe Audit opinion (pdf)
ICAP Securities Audit Opinion (pdf)
iSwap Euro Audit Opinion (pdf)
CRD IV ICAP Europe Ltd_Mar16 (pdf)
CRD IV ICAP Securities Ltd_Mar16 (pdf)
CRD IV iSwap Euro Ltd_Mar16 (pdf)

For TP ICAP Global Markets Americas LLC’s policies and procedures pertaining to the operation of bid-wanteds and offerings for municipal securities, please refer to the following disclosure (pdf).

JSFA Trade Reporting (tullettprebon.com)

UK Money Markets Code
The TP ICAP group has reviewed the content of the UK Money Markets Code (“Code”) and acknowledges that the Code represents a set of principles generally recognised as good practice in the UK Money Markets. The TP ICAP group confirms, for each of its Tullett Prebon and ICAP businesses which act as Market Participants as defined by the Code, that it is committed to conducting the UK Money Markets activities of those businesses (“Activities”) in a manner consistent with the principles of the Code. To this end, the TP ICAP group has in a manner commensurate with the size and complexity of the Activities, and the nature of their engagement in the UK Money Markets, established and implemented policies and procedures that accord with the Code (In so far as the content does not conflict with applicable law.)
FX Global Code
The TP ICAP group has reviewed the content of the FX Global Code (“Code”) and acknowledges that the Code represents a set of principles generally recognised as good practice in the wholesale foreign exchange market (“FX Market”). The TP ICAP group confirms, for each of its Tullett Prebon and ICAP divisions and subsidiaries that act as a Market Participant as defined by the Code, that it is committed to conducting the FX Market activities of its group (“Activities”) in a manner consistent with the principles of the Code. To this end, the TP ICAP group has taken appropriate steps, through its Tullett Prebon and ICAP divisions and subsidiaries, based on the size and complexity of their Activities, and the nature of their engagement in the FX Market, to align the Activities with the principles of the Code.
Global Precious Metals Code
The TP ICAP group has reviewed the content of the Precious Metals Global Code (“Code”) and acknowledges that the Code represents a set of principles generally recognised as good practice in the wholesale Precious Metals Market (“Market”).
The TP ICAP group confirms for each of its Tullett Prebon and ICAP divisions and subsidiaries that it acts as a Market Participant as defined by the Code, that it is committed to conducting its Market activities (“Activities”) in a manner consistent with the principles of the Code.
To this end, the TP ICAP group has taken appropriate steps, through its Tullett Prebon and ICAP divisions and subsidiaries, based on the size and complexity of their Activities, and the nature of their engagement in the wholesale Precious Metals Market, to align the Activities with the principles of the Code.

Futures North America Disclaimer
The use of this material and the data, information, and/or opinions reflected herein (collectively referred to as the "Data"), whether you used/use the Data in the past, present, or future is subject to the terms of this disclaimer.
To read the full document click here
U.S. Broking Practices

The Broking Practices described in the below-linked document address TP ICAP’s provision of broking services in its wholly-owned businesses in the United States (except for tpSEF Inc., ICAP Global Derivatives Ltd. (“IGDL”), Liquidnet, Inc. and the Energy & Commodities divisions of TP ICAP), with regard to the provision of voice and/or electronic brokerage of securities, swaps, and currencies.
To read the full document click here: TP ICAP Broking Practices
Virtual Currencies
NFA Investor Advisory - Futures on Virtual Currencies Including Bitcoin (pdf)
Customer Advisory - Understand the Risks of Virtual Currency Trading (pdf)
Notices for Canadian Clients

For services provided by TP ICAP to Canadian clients located in Ontario, Quebec, British Colombia and Nova Scotia, please refer to the following disclosures:

Notice to Canadian Clients – International Dealer Exemption
Notice to Canadian Clients – International Dealer Exemption TPIE

For services provided by TP ICAP via a platform, please refer to the following Terms of Use.

Legal & Regulatory

Legal & Regulatory

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