Certain SBS Transactions with Jefferies GmbH (ANE SBS Transactions)
- Transaction Risk Information, Disclosures and Documents
- Transaction-Specific Pre-trade Disclosure
- Conflicts of Interest
- Daily Marks
- Transaction Reporting
- Future Regulatory Developments
- ISDA Protocols
- Recording of Telephone Lines
The notices and disclosures below apply to security-based swaps (“SBS”) entered into by Jefferies GmbH (“JEG”) with non-U.S. counterparties that have been arranged, negotiated and/or executed by personnel located in the U.S. and are associated persons of Jefferies Financial Services, Inc. (“ANE SBS Transactions”):
- JEG is not a security-based swap dealer (“SBSD”) registered with the Securities and Exchange Commission (“SEC”) and certain SEC SBS regulations would not apply to any ANE SBS Transactions, including those affording clearing rights to counterparties.
- Jefferies Financial Services, Inc. (“JFSI”) is a SEC-registered SBSD and is acting as agent of JEG on ANE SBS Transactions.
- JFSI is not a member of the U.S. Securities Investor Protection Corporation.
- Disclosure of certain material information for each ANE SBS Transaction.
- JFSI is not undertaking to assess the suitability of the any ANE SBS Transactions or trading strategy involving SBS for the Counterparty. Unless notified by the Counterparty prior to engaging in an ANE SBS Transaction, the Counterparty will be deemed to qualify as an “institutional counterparty,” as defined in SEC Rule 240.15Fh-3(f)(4).
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