Regulation

G.H. Financials operates its businesses in multiple jurisdictions across the globe. Each jurisdiction has specific regulations for authorised and regulated businesses to which G.H. Financials fully adheres.

G.H. FINANCIALS LTD.

In the UK, G.H. Financials Limited, based in London, is authorised and regulated by the Financial Conduct Authority (“FCA”). It is a company registered in England and Wales under Company Registration no. 2775278.

G.H. Financials Ltd was first authorised by the Securities and Futures Authority (“SFA”) in 1993 as a clearing company for floor traders on LIFFE and later became a member of the Eurex exchange. From 2001, GHF Ltd was authorised and regulated by the Financial Services Authority (“FSA”) and later the FCA following the division of the FSA into the FCA and the Prudential Regulation Authority (“PRA”) in 2013.

FCA regulation is in place to ensure G.H. Financials Ltd and other financial firms adhere to strict standards and controls. Firms are regulated by the FCA in order provide confidence for users of financial markets, maintain financial stability of the UK financial system, protect consumers and to reduce the potential for financial crime.

PDFMiFID II Client Information Pack PDFMiFD II Order Execution Policy PDFFCA Disclosure - CRR SYSC Board Disclosure PDFEMIR Article 39 Disclosure - Pricing Schedule Listed Derivatives Clearing Services PDFEMIR Article 39 Disclosure - Managing Conflicts of Interest PDFEMIR Article 39 Disclosure - Clearing Members Disclosure Document PDFEMIR Article 39 Disclosure - Account Segregation Table

G.H. FINANCIALS, LLC

G.H. Financials, LLC was incorporated 2011 and became operational as a clearing Futures Commission Merchant (“FCM”) the same year. GHF LLC is regulated by the Chicago Mercantile Exchange (“CME”) as the Designated Self-Regulatory Organisation (“DSRO”) on behalf of the Commodity Futures Trading Commission (“CFTC”).

Based in the heart of Chicago’s financial district, the company is a member of the National Futures Association and holds memberships of CBOT, CME, COMEX, NYMEX and ICE Futures US.

G.H. Financials takes its regulatory responsibilities seriously and prides itself on its regulatory record. However, if you do wish to lodge a complaint against G.H. Financials links to our regulators are listed below:

Additional information on all FCM's is available from the CFTC, please see: https://www.cftc.gov/MarketReports/financialfcmdata/index.htm

Financial information regarding FCM's, including how they invest and hold customer funds, may be obtained from the NFA's Basic System, please see: https://www.nfa.futures.org/basicnet/

G.H. FINANCIALS (HONG KONG) LTD

G. H. Financials (Hong Kong) Limited (“GHF HK”) is a licensed corporation authorised by the Securities and Futures Commission of Hong Kong (“SFC”) to carry on Type 2 (Dealing in Futures Contracts) regulated activity under the Securities and Futures Ordinance (Cap. 571). Its Central Entity number is BBU921. Licence details can be verified on the SFC Public Register.

GHF HK was incorporated in Hong Kong on 18 July 2012 (Company No. 1345474) and was granted its Type 2 licence on 9 December 2013. It is an Exchange Participant and Clearing Participant of Hong Kong Exchanges and Clearing Limited (“HKEX”) / the Hong Kong Futures Exchange, and provides futures and options market access and clearing services to professional investors only.

REPORTING

G.H. Financials operates its businesses in multiple jurisdictions across the globe. Each jurisdiction has specific regulations for authorised and regulated businesses which G.H. Financials fully adheres to. Please see the link below for our reporting requirements for each jurisdiction we operate in:

G.H. FINANCIALS REPORTING