PAD reporting for ComplianceBespoke reporting solutions facilitating Personal Account Dealing (PAD) monitoring and compliance reporting for financial institutions in the UK

FX | CFDS | OPTIONS | FUTURES | STOCKS

UK.SAXOMARKETS.COM

The value of investments can go up as well as down.Losses can exceed deposits on margin products

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Introduction

Under the existing regulatory regime in the United Kingdom, regulated firms are required to establish and maintain adequate arrangements to ensure that personal account transactions in a designated investment, undertaken by any employee or their connected person(s), do not conflict with the firm’s regulatory duties to its clients or contravene the Market Abuse Directives.

In essence, the rules on personal account dealing aim to ensure that firms implement and maintain adequate arrangements to prevent any employee or their connected person(s) who:

• is involved in activities that may give rise to a conflict of interest; or

• has access to inside information as defined in the Market Abuse Directive; or

• has access to other confidential information relating to clients, or transactions with or for clients

from engaging in the following:

A. Entering into a personal transaction which:

• the person is prohibited from entering into under the Market Abuse Directive; or

• involves the misuse or improper disclosure of the confidential information; or

• conflicts or is likely to conflict with an obligation of the firm to a client under the regulatory system.

B. Advising or procuring any other person to enter into a transaction in designated investments which would be covered by any of the above.

C. Disclosing, other than in the normal course of business, any information or opinion to any other person, if the relevant person knows that the other person will or would be likely to enter into a transaction or advise another person to do so.

Regulated firms are also required to retain sufficient records to evidence that, where appropriate, the firm was promptly informed of the transaction and that, where necessary, approval was given by the firm prior to the transaction taking place.

Thus, today’s financial services industry faces challenging times. With tightened regulation and rapidly changing customer demand, firms are seeking professional and real-time reporting solutions, and differentiated service.

To enable you to remain compliant in this increasingly regulated environment, Saxo Capital Markets UK Limited (Saxo Capital Markets) provides you with bespoke reporting solutions for greater trading transparency and personal account dealing monitoring.

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Why choose Saxo Capital Marketsas your preferred broker?

Saxo Capital Markets recognises the need not only to provide a multi-asset front-end solution to company employees, but also provide a flexible and transparent back-office system to enable compliance departments to monitor their employees’ activities.

We strive to work with you to build bespoke reports tailored to your reporting requirements. As Saxo Capital Markets offers a wide range of asset classes, we will also work with you to restrict any products your employees should not be trading.

Reporting tools to monitor employees’ activities

End-of-Day files

• End-of-Day files are flat/text files sampling all parameters of trading/account activity during the previous 24 trading hours

• The End-of-Day files are a summary of all customers’ activities performed during the trade day. Most of the files are generated on a weekly, monthly or quarterly basis, or upon request

• Approximately 50 different End-of-Day files are available to support compliance teams in building reports on an overall and a client-by-client level for various business purposes, such as trading and compliance

• Saxo Capital Markets’ End-of-Day files have already been integrated with leading banks’ back-office systems

WebConnect Reporting Tool

• Online WebConnect is an advanced risk-management and reporting tool that facilitates the continuous, real-time monitoring and management of customer trading accounts. It is a web-based tool with viewing access only

• Online WebConnect comes with the following features:

Activity LogFull activity log for all trading-related activities, including chat, trades, orders, executions, broadcasting, login and status information.

Account SummaryThe account summary includes real-time details of the sum value of the customer’s trading account, including the individual components making up this value. The system will automatically calculate the margin and handle stop-outs.

Risk MonitoringWebConnect provides a total list of customers and a risk management tool to monitor the overall and individual customer real-time risk and margin situation.

Search ToolsWebConnect is equipped with a number of searchfeatures, including:

• Customer search

• Broker journal

• Customer connection history

• Risk-management search based on customer, instrument or margin profile

• Risk-management overview of customer value,

margin utilisation and available funds for trading

• Order search

• Position exposure search

Other ReportsOnline WebConnect shows all customer informationand a range of standard reporting that can be retrieved from the system, covering:

• Open orders

• Trading conditions

• Interest rates

• Subscription billing history

• Trades booked

• Trades executed

• Share dividends

• Bond coupon payments

• Financial statement

• Trade corrections

• Forex rollovers

• Account exposure

• Historical cash transactions

• Account statement

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Multi-asset tradingwith global market coverage

Saxo Capital Markets’ platform provides flexibility, enabling a multi-asset trading with global market coverage. Employees can trade Forex, CFDs, ETFs, Stocks, Futures, FX Forwards and Options – all from one account.

Forex • Spot Currencies: More than 182 FX crosses on live

streaming prices with leverage up to 50:1

• Spot Metals: 40 FX crosses in precious metals, including Gold, Silver, Platinum and Palladium, are available as spot-traded commodities

• Forwards: Major Forex Spot crosses are available as Forward Outrights on live tradable prices

Forex Options

• FX Vanilla Options are available for more than 40 currency crosses, including Gold and Silver

• All FX Options are traded via the innovative FX Options Board

CFDs (Contract for Difference) • Commodities: CFDs on oil, grains, softs, energies,

gold and other precious metals

• Stock Indices: 26 leading stock indices available

• Single Stocks: 8,840 single stock CFDs available with live streaming prices from 29 exchanges. Can also be traded as DMA

• ETFs: 450+ ETFs traded as CFDs

• Bond CFDs on several government bonds available: French OAT, Italian BTP, German Bund, German Bobl and German Schatz

Stocks & ETFs • Over 19,000 Stocks from 36 major exchanges

and more than 3,000 ETFs and ETCs are available

Stock Options • Stock Options are available on the following

exchanges: CBOE, Euronext Amsterdam, Euronext Paris, Eurex, LSE, MIB, MEFF, SEHK, ASX

• No carrying costs, no minimum ticket fees

Contract Options • Contract Options are available on multiple assets

• Stock Indices: DAX, EUROSTOXX, FTSE, CAC, SMI, AEX, S&P500, NASDAQ, Dow Jones, ASX, HIS

• Commodities: Agricultural, Metals and Energies

• Interest Rates: STIRs, Gilt, Bund, Bobl, Schatz

• Currencies crosses: EURUSD, GBPUSD, other majors

• No carrying costs, no minimum ticket fees

Futures • More than 200 contracts on agriculture, energy,

metals, currencies, interest rates and stock indices are available on live market prices from over 22 Futures exchanges

Bonds • Offline trading available on a wide selection of Bonds,

including sovereign, government and corporate bonds

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Innovative, award-winningtrading technology

SaxoTrader - professional,comprehensive online trading

The SaxoTrader platform enables investors to trade Forex, CFDs, ETFs, Stocks, Futures, FX Forwards and FX Options through a comprehensive and fully integrated trading platform.

Trading Features

Trade BoardIntegrating trading products into a board, allowing traders to monitor prices and trade on them directly.

Trade TicketTrading products through a single-integrated trade ticket. The trade ticket adjusts to offer all the trade types available for the product.

Instrument Explorer Enabling search and fast location of instruments from Saxo’s vast range of products.

Multiple Order TypesIncluding take profit, stop loss, stop limits and trailing stop.

Chat ModuleAllowing employees to communicate with Saxo’s Dealing Desk directly.

Flexible WorkspacesOffering investors the possibility to customise workspaces as they wish.

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SaxoTraderGO - our enhanced multi-asset,cross-device trading platform

The SaxoTraderGO platform allows traders to manage their portfolio on iOS or Android devices from a single account, with market prices on more than 30,000 instruments across FX, CFDs, Futures, Options and Stocks.

Trading Features • Place orders and monitor positions on the go and

enjoy the convenience of HTML5 technology for a faster application experience

• Trade from the watchlist, the dedicated trade ticket or directly from the chart

• Apply technical analysis and annotations in a few clicks with our brand-new charting package

• Receive trade confirmations through instant push notifications sent directly to smartphones

• Personalise the watchlist to keep an eye on the instruments that matter most

• Enjoy a trading experience with all the settings carried over between Android and iOS mobile and tablet devices

• Review your positions and portfolio development

• Experience a user-friendly trade board that allows for faster trading

• Manage positions and orders directly from the position module

STOCKS COMMISIONS ACTIVE TRADER1) STANDARD

London Stock Exchange from 5.00 GBP 0.10% (min. 8 GBP)

NASDAQ & NYSE from 6.00 USD 2 cps (min. 15 USD)

Deutsche Börsen (XETRA) from 9.00 EUR 0.12% (min. 12 EUR)

SIX Swiss Exchange from 11 CHF 0.10% (min. 18 CHF)

Milan Stock Exchange from 9.00 EUR 0.10% (min. 12 EUR)

NYSE Euronext Paris from 9.00 EUR 0.10% (min. 12 EUR)

BME Spanish Exchanges from 9.00 EUR 0.10% (min. 12 EUR)

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Transparent pricing

Saxo Capital Markets provide transparent pricing with competitive spreads and commissions tailored to your employees’ trading volumes.

For all rates, please visit uk.saxomarkets.com/stocks

1) To qualify for the Active Trader Pricing Plan, traders need to execute at least 100 trades per calendar month on Stocks, ETFs and Single Stock CFDs. Full terms and conditions are available on: uk.saxomarkets.com/stocks/ commissions

Extensive market analysisSaxo traders are given quick access to live streaming news through a comprehensive Dow Jones News Package.

Cross-account margining Saxo Capital Markets allows cross-account margining, where customers can use cash positions in one account as collateral in another.

Product restriction and segmentationCompliance departments have the ability to restrict the trading of specific products, depending on their company’s regulatory requirements.

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The value of investments can go up as well as down. Losses can exceed deposits on margin products.

DISCLAIMER:This material should be considered as a marketing communication under the Financial Conduct Authority’s rules. Saxo Capital Markets UK Limited (“SCML”) undertakes reasonable efforts to ensure that any information published in this communication is reliable. SCML makes no representation or warranty, or assumes no liability, for the accuracy or completeness of any information contained in this communication.

SCML provides an execution only service and this communication does not take into account any particular recipient’s investment objectives, special investment goals, financial situation, and specific needs and demands and nothing herein is intended as a recommendation for any recipient to invest or divest in a particular manner and SCML assumes no liability for any recipient sustaining a loss from trading in accordance with a perceived recommendation.

Saxo Capital Markets UK Limited is authorised and regulated by the Financial Conduct Authority, Firm Reference Number 551422. Registered address: 26th Floor, 40 Bank Street, Canary Wharf, London E14 5DA. Company number 7413871.

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Contact Us: P: +44 20 7151 2100

E: PrivateSalesUK@saxomarkets.com