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
• 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
• Inducements
• Market Encumbrance
• Pre-Trade Transparency
• Product Governance
• Product and Services Risk Disclosures

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