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Forms and Disclosures

MiFID II Disclosures

This page provides useful information and regulatory disclosures regarding the EU Markets in Financial Instruments Directive ("MiFID II").

Product Governance

MiFID II lays down product governance requirements that apply to manufacturers and distributors of financial instruments. IBKR entities subject to MiFID requirements ("IBKR") have established a Product Governance framework defining the steps that IBKR takes for products that IBKR manufactures and for products that IBKR distributes.

Target Market and Distribution Strategy Table for Manufactured and Distributed Products

In accordance with the MIFID II Product Governance requirements, Interactive Brokers (U.K.) Limited ("IBUK") has identified the potential target market for the financial instruments that IBUK manufactures, and financial instruments that are distributed, but not manufactured by IBUK.

The Target Market and Distribution Strategy table below provides the generic target market assessment performed by IBUK and other IBKR entities in relation to all products offered to their clients. Not all entities offer all products. Information on product coverage by entity is included in the below table. Further information on financial instruments can be found on the dedicated pages of the IBKR website.

Distributors should make their own determination in relation to the specific target market for the instruments and on an on-going basis raise any issue with IBUK of material discrepancy between the target market generically identified and the specific target market.


Target Market and Distribution Strategy Table for Manufactured and Distributed Products (Excel)



Policies and Disclosures

Interactive Brokers (U.K.) Limited Order Execution Policy

Interactive Brokers (U.K) Limited Summary of the Conflicts of Interest Policy November 7, 2019



Best Execution: Top 5 Execution Summary

2017 Top 5 Venue and Execution Summary

2018 Top 5 Venue and Execution Summary

2019 Top 5 Venue and Execution Summary

2020 Top 5 Venue and Execution Summary



Costs and Charges Disclosure

Costs and Charges Disclosure

Costs and Charges Illustrations



Client Categorisation

Professional Client Notification for Direct Carried-Clients of Interactive Brokers (U.K.) Limited

Retail Client Notification for Direct Carried-Clients of Interactive Brokers (U.K.) Limited



Complaints

IBUK/IBUKL Complaints for Q3-Q4 of 2020

IBUK/IBUKL Complaints for Q1-Q2 of 2020



Transaction Reporting

Overview of MiFIR Transaction Reporting

MiFIR Enriched and Delegated Transaction Reporting for EEA Investment Firm

MiFIR Information Required from Account Holders that do not have Reporting Obligations

Pursuant to the Treasury Laws Amendment (Design and Distribution Obligations and Product Intervention Powers) Act 2019, Interactive Brokers Australia Pty. Ltd. has prepared the following target market determinations relating to certain financial products for which it is deemed to be the issuer. Our Target Market Determinations are located here: Target Market Determinations.

Product Disclosure Statements are also available for each of these products. You should carefully consider these Disclosures in deciding whether to acquire, or to continue to hold, the relevant financial product.