360T FINANCIAL REGULATION
AUTHORISATIONS & APPROVALS


360 Treasury Systems AG (360T AG) is Headquartered in Frankfurt am Main in the Federal Republic of Germany. 360T also maintains subsidiaries in: New York, 360 Trading Networks Inc (360T Inc), Singapore, 360T Asia Pacific Pte. Ltd., Dubai, 360 Trading Networks LLC and also in India, ThreeSixty Trading Networks (India) Pvt Ltd. Both 360T AG and 360T Inc. Swaps Execution Facility (SEF) are subject to regulatory authorisations by financial services regulators in the jurisdictions in which they operate.

360T Current Authorisations and Approvals

Australia
360T AG has been granted exempt market status by the Australian Securities & Investments Commission (ASIC). 360T Inc. has obtained a letter of no action relief.

Canada
In the Provence of Ontario 360T Inc. SEF operates under the terms of an exemption order granted by the Ontario Securities Commission (OSC) on 13 June 2016. 360T SEF also operates under an interim exemption in Provence of Quebec as issued by the Autorite Des Marches Financiers (AMF).

Germany
360T AG is authorised and lead regulated by the German Federal Financial Supervisory Authority (BaFin). In accordance with the pass-porting provisions of the EU Markets in Financial Instruments Directive (MiFID), 360T AG provides its services on a cross border basis from its Home State of Germany throughout all Member States European Economic Area*. 360T AG has also been permissioned to operate a Multi-Lateral Trading facility (MTF).

*The EEA is comprised of all 28 Member States of the European Union, plus Iceland, Lichtenstein and Norway.

As an overseas person 360T Inc. may provide SEF services into the UK and France.

Hong Kong
From December 10, 2014 360T AG has been approved as a Money Broker by the Hong Kong Monetary Authority (HKMA).

India
360T AG is accredited by the Foreign Exchange Dealers Association of India (FEDAI) as the provider of a Multibank Portal.

Switzerland
From 12 February 2016, 360T Inc. SEF has been recognized by Swiss Financial Market Supervisory Authority (FINMA) as a foreign trading venue according to Art. 41 FMIA.

United States
On 22 January 2016 360T Inc. was granted full registration to operate as a Swaps Execution Facility (SEF) in the United States by the Commodity Futures Trading Commission (CFTC).

Future Developments
As the OTC regulatory framework continues to evolve and Global Codes of Conduct for FX markets are finalised and implemented, 360T clients can be assured that the Company is actively engaged in ensuring that it is prepared to comply with all new requirements as and when they are introduced. 360T can assure you – our clients – that it will be doing all that is optimal to meet our, and of course your, ongoing trading needs.

Contact

If you are interested in more information on regulatory matters please contact

Global Head: Regulatory Affairs
regulation@360t.com
360 Trading Networks
Grüneburgweg 16-18/ Westend Carrée
60322 Frankfurt am Main
Phone: +49 69 900 289 0