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, which operates both a Multilateral Trading Facility (MTF) trading venue and Over the Counter (OTC) trading platform – and 360T Inc., which operates a Swaps Execution Facility (SEF) – are subject to various regulatory authorisations and approvals by financial services regulators in some the jurisdictions in which they operate. 360T AG. is also a provider of financial information.

360T AG is lead regulated by the German Federal Financial Supervisory Authority (BaFin).

360T Inc. is lead regulated by the US Commodity Futures Trading Commission (CFTC).

360T Current Authorisations and Approvals

Australia
360T AG was granted an Australian Market License by the Australian Securities & Investments Commission (ASIC), effective from 23 December 2017.

360T Inc. was granted exempt market status by ASIC, effective from 29 March 2017.

Canada
In the Provence of Ontario, 360T Inc. operates under the terms of an exemption order granted by the Ontario Securities Commission (OSC) on 13 June 2016.

In the Provence of Quebec, 360T Inc. operates under the terms of an exemption order granted by the Autorite Des Marches Financiers (AMF) on 23 October 2017.

Germany (EEA)
360T AG is authorised by the German Federal Financial Supervisory Authority (BaFin) for providing an OTC trading platform and as being the operator of a Multi-Lateral Trading Facility (MTF). 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*.

*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
360T AG was approved as a Money Broker by the Hong Kong Monetary Authority (HKMA) on 10 December 2014.

India
360T AG is accredited by the Foreign Exchange Dealers Association of India (FEDAI) as the provider of a Multibank Portal (MBP). 360T AG has also been accredited for the provision of an Electronic Order matching System (EOMS).

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.

From 8 December 2017 360T AG MTF has been recognized by 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 markets develop and regulatory frameworks evolve, 360T clients can be assured that the Company remains actively engaged with regulatory and government authorities at all levels to ensure that 360T Group entities obtain or enhance all such authorisations or approvals that may be required in order to allow the Company to provide services in various jurisdictions and in full compliance with whichever legislative provisions may from time to time be in force.

Should clients have any queries concerning the respective jurisdictions in which 360T operates, they may seek advice directly from 360T Regulatory: regulation@360T.com

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