Our Guiding Principles

  • Always act with integrity
  • Lead with integrity, and expect others
    to work with integrity
  • Follow the laws at all times
  • Be honest and fair
  • Reveal and report all information truthfully, without manipulation or misrepresentation
  • Work, actions and relationships outside of your position should be free of any conflicts of interest
  • Respect and encourage diversity, and never discriminate against anyone
  • Promptly report suspected violations of the Statement of Ethics
  • Cooperate with and maintain the private nature of any investigation of a possible ethics violation
  • When involved in an ethics investigation, you should reveal and report all information truthfully
  • You should present all the facts you are aware of without personal opinion, bias or judgement

Financial crime

We have a zero tolerance approach to any form of financial crime and comply with all applicable regulations in the jurisdictions we operate in.

We adopt a risk based approach, supported by internal policies, procedures and controls to ensure that we meet the high standards expected of us to combat money laundering, terrorist financing and other financial crimes.

Regulatory oversight

SCB Group companies are overseen by relevant regulatory authorities in the jurisdictions we operate in. Principally, these authorisations are:

United Kingdom

SCB & Associates Limited is authorised and regulated by the Financial Conduct Authority in the UK under FRN: 592324

United States

SCB Derivatives LLC (United States of America) is an authorised Introducing Broker regulated by the National Futures Association under ID: 0440120 and the CFTC.

SCB & Associates Limited (United Kingdom) is an exempt foreign firm under CFTC regulation 30.5.

SCB Brokers LLC (Puerto Rico) is authorised and regulated by the National Futures Association in the USA: 0484646.

SCB Brokers SA (Switzerland) is an authorised Introducing Broker regulated by the National Futures Association under ID: 0510531 and the CFTC.

Regulatory Documents & Information

Nyon

SCB Brokers SA
Avenue de Perdtemps 17
CH 1260 Nyon
Switzerland

LEI: 2138009T922PYITK1T38

London

SCB & Associates Ltd.
16 Dufferin Street
London EC1Y 8PD
United Kingdom

LEI: 21380066NQ4N1WXR8I53

Singapore

SCB & Associates PTE. Ltd.
6 EU Tong Sen Street
11-13 Soho 1, The Central
Singapore 059817

LEI: 5493007568GTOUQJJW64

Puerto Rico

SCB Brokers, LLC
PMB 324
425 Carr 693 STE 1
Dorado PR 00646-4817
United States of America

LEI: 549300D3VAQ5458LX665

Chicago

SCB Derivatives, LLC
71 South Wacker Drive
Suite 1810
Chicago, IL 60606
USA

LEI: 5493004R34W1PV36YH54

Download links

Conflicts of Interest Policy

Pillar III : Year End 2018

Communications

Notice to instant message contacts

Please note that SCB Group companies routinely record and retain Instant Message communications. These communications are then held for the security of all parties and will be used in the event of a dispute to ascertain facts.

Notice to email recipients

Internet e-mail may be susceptible to data corruption, interception and unauthorized amendment for which SCB Group companies do not accept liability. Whilst SCB Group companies have taken reasonable precautions to ensure that e-mails and any attachments have been swept for viruses, SCB Group companies do not accept liability for any damage sustained as a result of viruses. Statements in e-mail messages or attachments that do not relate to the business of SCB Group companies are neither given nor endorsed by the Company or their Directors.

Please note that SCB Group companies reserve the right to intercept, monitor, and retain e-mail messages to and from their systems as permitted by applicable law. If you are not comfortable with the risks associated with e-mail messages, you may decide not to use e-mail to communicate with SCB Group companies but use alternative methods of communication.

SCB Group companies email policies do not require that “cc” recipients read or respond to an email. SCB Group companies policies are that “cc” recipients are being included either as a courtesy or to ensure a discussion is carried out in public or to give persons an opportunity to become involved in a discussion should they wish to do so.

Notice to telephone contacts

Please note that SCB Group companies routinely record telephone conversations on all lines. These conversations are then held for the security of all parties and will be used in the event of a dispute to ascertain facts.