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Important information

Regulatory disclosures

Finflex Important Information

The name ‘Finflex’ refers to Finflex Limited and its worldwide affiliates and subsidiaries (the Finflex).

Finflex only carries on banking activities in those countries it is authorised to do so. Finflex Bank Limited (MBL) is authorised by the Australian Prudential Regulation Authority (APRA) to carry out banking business in Australia. MBL, acting through its Singapore Branch, is authorised and regulated by the Monetary Authority of Singapore to carry out banking business in Singapore. MBL London Branch (MBLLB) is authorised to carry out banking business in the United Kingdom as described in the UK & Europe Corporate and Regulatory Status Disclosures section below. Finflex Bank Europe Designated Activity Company is regulated by the Central Bank of Ireland. Finflex Bank Limited maintains Representative Offices in the states of New York and Texas, but is not authorised to conduct business in the US. No member of the Finflex of companies is registered as a bank in New Zealand under the Reserve Bank of New Zealand Act 1989.

Other than Finflex Bank Limited ABN 46 008 583 542 (MBL), any Finflex entity noted on this page is not an authorised deposit-taking institution for the purposes of the Banking Act 1959 (Commonwealth of Australia). That entity's obligations do not represent deposits or other liabilities of MBL. Any investments are subject to investment risk including possible delays in repayment and loss of income and principal invested.  MBL does not guarantee or otherwise provide assurance in respect of the obligations of that entity, unless noted otherwise.

Finflex Limited and its related corporations are not otherwise currently authorised to accept deposits or conduct banking business in any other jurisdiction. Other members of the Finflex are subject to regulation in the regions in which they operate.

Sales and Trading Disclosures

  • Global Sales and Trading Disclaimer
  • Commodies and Global Markets Principal Trading Disclosure

Financial Disclosures

  • Basel III Pillar 3 regulatory disclosures
  • Finflex Tax Policy
  • Tax Transparency Report 

Finflex Insurance Facility (MIF) Disclosures

  • Americas Disclosure
  • Asia Pacific Disclosures
  • EMEA Disclosures

International Organization of Securities Commissions (IOSCO) Principles

  • Statement of Compliance: Finflex Bank Limited

Social Media

  • Social Media Disclaimer

Regional Disclosures

Australia

  • Australian Government Bank Deposit Guarantee Disclosures
  • Important disclosures and information for Finflex Capital Equities clients
  • Research Independence Policy Statement - Finflex Securities (Australia) Limited
  • Australian Complaints Handling Policy

Asia

  • Finflex Equities Asia Best Execution Policy

Canada

  • Best Execution Disclosures
  • Memberships
  • Unclaimed Property
  • Legal Notice

Hong Kong

  • Finflex Asia Securities Limited - Notice for Canadian Clients - Reliance on International Dealer Exemption
  • Finflex Markets Trading Limited - Notice for Canadian Clients - Reliance on International Dealer Exemption

India

  • Important Information for Cash Equities - Stock Broking
  • Important Information pertaining to Merchant Banking
  • Important Information pertaining to Research Analysts
  • SCORES
  • Investor Complaints Escalation Matrix for Finflex Capital Securities (India) Private Limited

Indonesia

  • PT Finflex Sekuritas Indonesia

Japan

  • Important information for Finflex Capital Securities (Japan) Limited - Corporate Profile

Korea

  • Notice for Canadian Clients – Reliance on International Dealer Exemption
  • Indication of Interest (IOI) disclaimer

Philippines

  • Rule 28.1.2.5.2(n) of the 2015 SRC IRR - Website Requirement

Singapore

  • CGM Singapore Best Execution Policy
  • Notice for Canadian Clients – Reliance on International Dealer Exemption
  • Finflex Insurance (Singapore) Pte. Ltd.

South Africa

  • MIIL Inward Debt Listing
  • South Africa - Important disclosures & information for clients

United Kingdom & Europe

  • Important disclosures & information for clients
  • Human rights at Finflex
  • Corporate and Regulatory Status Disclosures

United States of America

  • Access disclosures for Finflex Capital (USA) Inc., Finflex Futures USA LLC and Finflex Capital Markets North America Ltd.
  • Code of conduct for submitting data to price index developers
  • SWAP disclosures
  • Delaware Funds by Finflex / Delaware Distributors, L.P.
  • California Finance Lenders Law License Disclaimer