PUBLIC FILINGS, PARTNERSHIP AND CORPORATE GOVERNANCE INFORMATION
To view BGC Group, Inc.’s filings with the Securities and Exchange Commission, including annual (10-K), quarterly (10-Q) and currents reports (8-K), proxy statements (DEFA 14A) and registration statements (S-1, S-3, S-4, S-8, prospectuses, etc.) , please access the following link: http://ir.bgcg.com/financial-reports-filings/sec-filings/BGC-Filings/default.aspx
BGC Group Securities Documents
Former BGC Holdings Partnership Documents
- Whistleblower Complaint and Investigation procedures for Accounting, Internal controls, Auditing matters and Employment and Labor practices
- Code of Business Conduct and Ethics
This code of business conduct and ethics is available in the following languages:
- Charter of the Audit Committee of the Board of Directors
- Charter of the Compensation Committee of the Board of Directors
- Charter of the Independent Environmental, Social and Governance Committee
BGC FINANCIAL, L.P.
BGC in Asia Pacific
BGC BROKERS, L.P.
Where a service and/or information is provided by BGC in the United Kingdom, it has been approved by BGC Brokers L.P. whose address is Five Churchill Place, Canary Wharf, E14 5HU. BGC Brokers L.P. is authorised and regulated by the Financial Conduct Authority. Their FCA Register Numbers is 454814 respectively. Access to the FCA Register can be gained via the following link: www.fsa.gov.uk/register/. The investment services displayed on the BGC website are not available to any UK “Retail Client” (as defined by the Financial Conduct Authority). BGC does not deal with or for Retail Clients. To receive a copy of the Country-by-Country Reporting for BGC Brokers L.P., please email: firstname.lastname@example.org.
BGC Brokers L.P. MIFIDPRU 8 Disclosures can be found here
BGC Brokers L.P United Arab Emirates (Dubai)
BGC Brokers L.P Bahrain
BGC Partners (Australia) Pty Ltd and
BGC Securities (Australia) Pty Ltd.
Global Broker Exchange (GBX)
BGC –BGC Brokers, L.P. or any branch thereof located in the EEA.
Execution Venue – A regulated market, an MTF, a systematic Internaliser, or a market maker or other liquidity provider or an entity that performs a similar function in a third country.
Financial Instruments – Instruments specified in Section C of Annex I to MiFID.
MiFID II – Directive No 2014/65/EU of the European Parliament and the Council of 15th May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU, articles 17, 18, 31, 48, 54.
Multilateral Trading Facility (MTF) – Multilateral Trading Facility (MTF) – A multilateral system, operated by an investment firm or a market operator, which brings together multiple third party buying and selling interests in financial instruments – in the system and in accordance with non-discretionary rules – in a way that results in a contract.
Organised Trading Facility (OTF) – A multilateral system which is not a regulated market or an MTF and in which multiple third-party buying and selling interests in bonds, structured finance products, emission allowances or derivatives are able to interact in the system in a way that results in a contract.
Dealing on Own Account – Trading against proprietary capital resulting in the conclusion of transactions in one or more financial instruments.
Professional Client – A client meeting the criteria laid down in paragraph 1 of Annex II of MiFID.
Regulated Market – A multilateral system operated and / or managed by a market operator which brings together or facilitates the bringing together of third party buying and selling interests in financial instruments in a way that results in a contract, in respect of the financial instruments admitted to trading under its rules and/or systems, and which is authorised and functions regularly and in accordance with the provisions of Title III of MiFID.
Systematic Internaliser – An investment firm which, on an organised, frequent and systematic basis, deals on own account by executing client orders outside a regulated market or an MTF.
Please note that system response and account access times may vary due to a variety of factors, including trading volumes, market conditions, system performance, and other factors.
The registered office of BGC Brokers L.P. is at 5 Churchill Place, London, E14 5RD.
The FCA register appears at https://register.fca.org.uk/. The FCA regulates the financial services industry in the United Kingdom and is located at 12 Endeavour Square, London, E20 1JN.
|NAME||FCA No.||Company No.||VAT No.|
|BGC Brokers L.P.||454814||LP011453||577 406809|
|Tower Bridge International Services L.P.||N/A||LP011810||577 406809|
UK Tax Strategy
UK Modern Slavery Act Statements 2020
All investments involve risk, particularly in terms of fluctuations in value and yield. If an investment is denominated in a currency other than your base currency, exchange rate fluctuations may have a favorable or unfavorable impact.