Canada Disclosures

Deposits with JPMorgan Chase Bank, N.A., Toronto Branch, are not insured by the Canada Deposit Insurance Corporation.

Pursuant to the requirements under Canada’s Bank Act, JPMorgan Canada does not engage in coercive tied selling. This means that J.P. Morgan will not impose undue pressure on anyone to obtain a product or service as a condition for obtaining another product or service from J.P. Morgan. However, we may offer bundled products or services at prices which are lower than the sum of the prices of the items when sold individually.

Treasury Services – Canada Fees & Disclosures

JPMorgan Chase Bank N.A. – Toronto Branch Commercial Banking Client Complaint Process

Global Regulatory Disclosures

Disclosure Notices

• J.P. Morgan Corporate & Investment Bank Spot FX Disclosures
  • May 20, 2015 Disclosure Notice
  • Client letter regarding spot FX sales and trading practices
• Disclosure to Wholesale Fixed Income, Currency, Commodities and Equities Products Clients
• Notice to commercial customers – Regulation GG
• Government Sponsored Enterprises Disclosure
• J.P. Morgan Capital Introduction Program Disclosure
• Notice to Australian clients – ASIC Class Orders
• Notice to Canadian clients – Reliance on International Dealer Exemption
• Statement of Material Auction Practices and Procedures
• Wholesale Client Notice: Potential Impact on Payment and Settlement Activity if J.P. Morgan Group Experiences a Material Adverse Event
• Fixed Income, Currency and Commodity Markets Standards Board (FMSB) Adherence Statement
• Statement of Commitment to the FX Global Code
• Statement of General Principles with respect to Allocations and Marketing of Securities

Generally Applicable Disclosures

• J.P. Morgan Legal Entity Identifiers (LEI)
• Email and Instant Messaging Disclosure
• Telephone Recording Disclosure
• Social Media Terms and Conditions
• Usage Terms – Data and Content
• Tax and Legal Advice Disclaimer
• Important Risk Information for Structured Products

Global Financial Crimes Compliance

• Global AML Program
• Wolfsberg FCCQ
• Global Sanctions Program
• USA PATRIOT Act Certification
• Economic Sanctions
• Compliance with Iran Sanctions

By Regulation

Central Securities Depositories Regulation (CSDR)

• Central Securities Depositories Regulation (CSDR) Participant Disclosure: J.P. Morgan Securities LLC
• Central Securities Depositories Regulation (CSDR) Participant Disclosure: J.P. Morgan Securities plc
• Central Securities Depositories Regulation (CSDR) Costs Disclosure: J.P. Morgan LLC and J.P. Morgan plc
• Central Securities Depositories Regulation (CSDR) Costs Disclosure: JPMorgan Chase Bank, N.A., London Branch; J.P. Morgan AG; J.P. Morgan (Suisse) S.A.; J.P. Morgan Bank (Ireland) plc; J.P. Morgan Bank Luxembourg S.A.; and JPMorgan Chase Bank N.A.
• Central Securities Depositories Regulation (CSDR), Participant Disclosure Document: JPMorgan Chase Bank N.A., London Branch
• Central Securities Depositories Regulation (CSDR), Participant Disclosure Document: J.P. Morgan AG
• Central Securities Depositories Regulation (CSDR), Participant Disclosure Document: J.P. Morgan (Suisse) S.A.
• Central Securities Depositories Regulation (CSDR), Participant Disclosure Document: J.P. Morgan Bank (Ireland) plc
• Central Securities Depositories Regulation (CSDR), Participant Disclosure Document: J.P. Morgan Bank Luxembourg S.A.
• Central Securities Depositories Regulation (CSDR), Participant Disclosure Document: JPMorgan Chase Bank N.A.

Securities Financing Transactions Regulation (SFTR)

• Securities Financing Transactions Regulation (SFTR) Information Statement (English)
• Securities Financing Transactions Regulation (SFTR) Information Statement (French)
• Securities Financing Transactions Regulation (SFTR) Information Statement (German)

Dodd-Frank

• External Business Conduct Disclosure

Employee Retirement Income Security Act (ERISA) and U.S. Department of Labor Fiduciary Rule

• Notice to Clients of the Corporate & Investment Bank which are ERISA plans, plan fiduciaries or representatives, participants or beneficiaries, individualized retirement accounts (IRA) or IRA owners
• ERISA – Cash Executions

European Market Infrastructure Regulation (EMIR) and Markets in Financial Instruments Regulation (MiFIR)

• EMIR Clearing Member Disclosure (JPMorgan Chase Bank)
• EMIR Clearing Member Disclosure (J.P. Morgan Securities LLC)
• EMIR and MiFIR Clearing Member Disclosure (J.P. Morgan Securities plc)
• EMIR and MiFIR Clearing Member Pricing Disclosure (J.P. Morgan Securities LLC and J.P. Morgan Securities plc) – Cleared Derivatives
• EMIR Clearing Member Pricing Disclosure (JPMorgan Chase Bank) – Securities Clearing
• EMIR Clearing Member Pricing Disclosure (J.P. Morgan Securities plc) – Securities Clearing
• EMIR: Intragroup Margin Requirement Exemptions
• MiFIR Clearing Member Disclosure for MiFIR Indirect Clearing (J.P. Morgan Securities LLC)

Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS) — Tax

• J.P. Morgan Tax Self Certification Forms

MiFID II – Revised Markets in Financial Instruments Directive (MiFID) and Markets in Financial Instruments Regulation (MiFIR)

• MiFID II – Top ten client questions and how we can help
• Complaints
• Conflicts of Interest
• Costs and Charges
• Execution Policy
• Execution Venue Reporting
• Inducements
• Market Encumbrance
• Pre-Trade Transparency
• Product Governance
• Product and Services Risk Disclosures

Payment Services Directive 2 (PSD2)

• Paris Branch payments Services Complaints Process

By Business

Markets & Investor Services

• Trade Matching and “Last Look” in the Wholesale Electronic Foreign Exchange and Commodities Markets
• High and Low Rates in the Wholesale Foreign Exchange Market
• J.P. Morgan Global Research Company-Specific and Other Regulatory Disclosures
• Sales and Trading Disclaimer
• Prime Finance Business Disclaimer
• ERISA – Cash Executions
• External Business Conduct Disclosure
• J.P. Morgan Markets Disclosures
• Special Disclosures Statement

Investment Bank / Private Bank / J.P. Morgan Securities

• Investment Bank Legal Entity Disclosures
• Private Bank and Private Wealth Management Legal Entity Disclosures
• U.S. Corporate & Investment Bank Privacy Notice
• Private Bank and J.P. Morgan Securities Swap Dealer Associated Persons Disclosures
• Risks of Certain Investments for Private Bank and J.P. Morgan Securities
• SEC Rule 605
• SEC Rule 606

Commercial Bank

• Disclosure to Clients for Compliance with FINRA Rule 4370
• JPMorgan Chase Bank N.A. – Toronto Branch Commercial Banking Client Complaint Process

By Legal Entity

J.P. Morgan Securities LLC

• CFTC Rule 1.55 Risk Disclosure Statement
• CFTC Rule 1.55(k) and 1.55(o): FCM-Specific Disclosure Document
• J.P. Morgan Securities LLC (“JPMS”) Regulatory Disclosures – Cash Equities
• J.P. Morgan Securities LLC (“JPMS”) Regulatory Disclosures – Fixed Income
• Rule 5320 – Prohibition Against Trading Ahead of Customer Orders
• Rule 5270 – Prohibition on Front Running Customer Block Transactions
• Disclosure to Clients for Compliance with FINRA Rule 4370
• JPMS Large Trader LTID Disclosure Form
• Disclosure of SEC  Required Order Execution Information
• SEC Rule 605 Disclosure
• J.P. Morgan Securities Inc. Name Change to J.P. Morgan Securities LLC
• Institutional Brokerage business of JPMS ERISA Section 408(b)(2) Disclosure
• U.S. Corporate & Investment Bank Privacy Notice
• Important Notice Regarding Callable Securities
• Client Statement Disclosure for Futures and Foreign Equity Options

By Region

Asia Pacific Disclosures

• APAC Legal Entity Information – Incorporation Details & Regulatory Status Disclosures
• Order Handling Policy with Respect to Orders Executed by J.P. Morgan Securities (Asia Pacific) Limited
• Asian Transaction Disclosures (Trading Asian Markets using Electronic Connectivity)
• China: China Connect Terms and Disclosures
• China: China ST Stocks Risk Disclosure Statement
• Japan: J.P. Morgan Securities LLC (Gentan)
• Hong Kong: Complaint Handling Procedure
• Hong Kong: Automated Trading Services
• Hong Kong: Short Sales on the Hong Kong Stock Exchange
• Hong Kong: Hong Kong Electronic Trading Rules – Sub-Delegation of Direct Market Access
• Hong Kong: JPM-X Guidelines
• Singapore: Direct Market Access
• Singapore: Singapore Investor Handbook
• Australia & New Zealand Disclosures
  • Notice to Australian clients – ASIC Class Orders
  • Australia: JPM-X General Disclosure

North America Disclosures

• Notice to Canadian clients – Reliance on International Dealer Exemption
• J.P. Morgan Commodities Canada Corporation Application for Electricity Wholesaler Licence: OEB File No. EB-2013-0293
• Material Safety Data Sheets for products issued by J.P. Morgan Ventures Energy Corporation
• FERC Information
• U.S. Corporate & Investment Bank Privacy Notice

EMEA Disclosures

• EMEA Legal Entity Information – Incorporation Details & Regulatory Status Disclosures
• EU e-Commerce Directive
• Governance
  • Gender Diversity on EMEA Boards Disclosure
  • CRD IV Governance Disclosures – U.K. Entities
• Terms of Business
  • Terms of Business for Eligible Counterparties
  • Terms of Business for Professional Clients
  • Terms of Business – J.P. Morgan Credit Institutions
  • Terms of Business – Client Money Rules
• Russia: Short sales on the Russian Stock Exchanges
• United Kingdom
  • Corporate Access Services provided by J.P. Morgan Securities plc
  • J.P. Morgan Europe Limited Complaints Data
  • 2017 UK Gender Pay Gap Report
  • 2017 UK Gender Pay Gap Disclosure