U.S. Disclosure Statements
- Futures Risk Disclosure Statement
- RBC Capital Markets, LLC Bespoke Disclosure Document – CFTC Regulation 1.55(k) and 1.55(o)
- IRS Section 871(m) Customer Notification
- CFTC Customer Advisory: Understand the Risks of Virtual Currency Trading
- NFA Investor Advisory — Futures on Virtual Currencies Including Bitcoin
- Disclosure for Futures Commentary Containing Hypothetical or Model-Estimated Results
RBC Capital Markets, LLC is a member of NFA and is subject to NFA’s regulatory oversight and examinations. However, you should be aware that NFA does not have regulatory oversight authority over underlying or spot virtual currency products or transactions or virtual currency exchanges, custodians, or markets.
European Futures & OTC Clearing Regulatory Disclosures
- RBC Capital Markets LLC EMIR Pricing Disclosure
- Direct Clearing – Clearing Member Disclosure
- Indirect Clearing – Clearing Member Disclosure
- Indirect Clearing – Direct Client Disclosure
- EU CCP Recovery and Resolution Regime (from our affiliate, RBC Europe Limited)
U.S. FCM Financial Disclosures & Statements
- Statement of Daily Segregation Requirements and Funds in Segregation
- Statement of Daily Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers
- Statement of Daily Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts
- Summary of Month End Net Capital Position
- Statement of Month End Segregation Requirements and Funds in Segregation
- Statement of Month End Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers
- Statement of Month End Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts
- Consolidated Statement of Financial Condition
RBC Capital Markets, LLC is a registered futures commission merchant (“FCM”) subject to the Commodity Exchange Act and Commodity Futures Trading Commission (“CFTC”) regulations. The funds you deposit with an FCM may be invested by the FCM in certain types of financial instruments that have been approved by the CFTC for the purpose of such investments. Permitted investments are listed in CFTC Regulation 1.25 and include: U.S. government securities; municipal securities; money market mutual funds; and certain corporate notes and bonds. The FCM may retain the interest and other earnings realized from its investment of customer funds. You should be familiar with the types of financial instruments an FCM may invest customer funds in. This information may be obtained from the NFA.
Additional financial information on all FCMs is available from the CFTC.