ntile Exchange. The company is also a member of the Chicago Mercantile Exchange’s divisions, such as the Chicago Board of Trade, the New York Mercantile Exchange and COMEX, ICE Futures US, ICE Europe Ltd, and the Minneapolis Grain Exchange. The company must comply with a range of requirements imposed by the Securities and Exchange Commission (the SEC), state securities commissions and Financial Industry Regulatory Authority (FINRA). The activities of the company’s broker-dealer subsidiaries in the U.S., INTL FCStone Securities Inc. and FCC Investments, Inc., are primarily regulated by FINRA and the SEC. The Financial Conduct Authority, the regulator of the financial services industry in the United Kingdom, regulates the company’s subsidiary, INTL FCStone Ltd., as a Financial Services Firm under part IV of the Financial Services and Markets Act 2000. The company’s wholly owned subsidiary, INTL FCStone Markets, LLC, is registered as a swap dealer. The company implements and maintains appropriate internal practices, procedures, and controls to enable the company to comply with the provisions of the USA PATRIOT Act and other anti-money laundering laws. INTL FCStone Securities Inc. is subject to the SEC Uniform Net Capital Rule 15c3-1 under the Securities Exchange Act of 1934. The company’s subsidiary, FCStone Australia Pty Ltd, is regulated by the Australian Securities and Investment Commission. FCStone Australia Pty Ltd is also regulated by New Zealand Clearing Limited. The Central Bank of Ireland regulates the company’s subsidiary, FCStone Commodity Services (Europe), Ltd., which is domiciled in Ireland. The Brazilian Central Bank and SEC of Brazil regulate the company’s subsidiary, INTL FCStone DTVM Ltda. The Comision de Valores and Mercado de Valores S.A. regulate the company’s subsidiary, INTL Gainvest and Compania Inversora Bursatil S.A. Sociedad de Bolsa. The Rosario Futures Exchange, the General Inspector of Justice and the Superintendent of Securities Markets of Buenos Aires regulate the company’s subsidiary, INTL Capital, S.A. History INTL FCStone Inc., a Delaware corporation, was founded in 1987.
intl fcstone inc (INTL:NASDAQ GS)
708 Third Avenue
New York, NY 10017
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