- CLSA Asia-Pacific Terms of Business
- CLSA Asia-Pacific Securities Dealing Services Annex
- CLSA Australia Terms of Business
- CLSA Australia Market Terms
- CLSA Americas General Terms and Conditions of Business
Securities Dealing Services Market Annexes with Risk Disclosure Statement
- Hong Kong
- Hong Kong – Bond Annex
- Hong Kong – China Connect
- Indonesia
- Japan
- Malaysia
- People’s Republic of China
- Philippines
- Singapore
Custody Services
Direct Market Access / Electronic Trading
- Asia-Pacific Direct Market Access Services Annex
- Hong Kong Crossing Engine Service Annex
- User Guidelines for Hong Kong Crossing Engine Services
- AU Crossing System User Guide (non Public)
- CLSA Australia – Crossing System Information Public Disclosure
- Japan Crossing Engine User Guidelines
Fixed Income Trading – CSI Global Markets Limited
- CSIGM Terms and Conditions
- Circular relating to the Personal Data (Privacy) Ordinance of Hong Kong
- Tax Information and Common Reporting Standard Addendum
Futures/Options
Global Portfolio Trading
Bond & Structured Notes, Fund Transactions, and Product Financing – CLSA Global Markets Pte. Ltd.
- Product Financing Terms and Conditions
- Bonds and Structured Notes Transactions – Annex
- Fund Transactions – Annex
Personal Data Protection
- CLSA Personal Data Protection Law Annex
- Circular relating to the Personal Data (Privacy) Ordinance of Hong Kong
- Australia – Privacy Policy
- Client privacy notice CLSA (UK)
- Client privacy notice CLSA Europe BV
FATCA
CLSA Europe BV Documentation
- CLSA Europe BV Terms of Business
- CLSA Europe BV Order Execution Policy
- CLSA Europe BV Conflicts of Interest Policy
- FICC Risk Disclosures
- CLSA Europe B.V. RTS 28 Top 5 Venue period 2019
- CLSA Europe B.V. RTS 28 Top 5 Venue period 2020
- CLSA Europe B.V. RTS 28 Top 5 Venue period 2021
- CLSA Europe B.V. RTS 28 Top 5 Venue period 2022
CLSA (UK) Documentation
- CLSA (UK) General Terms and Conditions (Eligible Counterparty / Professional Client)
- CLSA (UK) FATCA Annex
- CLSA (UK) Order Execution Policy
- Conflicts of Interest Policy
- FICC Risk Disclosures
- CLSA (UK) RTS 28 Top 5 Venue period 2019
- CLSA (UK) RTS 28 2018 Annual Report – Equities
- CLSA (UK) RTS 28 2018 Annual Report – Debt Instruments – Bonds
- CLSA (UK) RTS 28 Top 5 Venue period 2020
CLSA Securities Korea Documentation
- CLSA Korea – Terms of Business
- CLSA Korea – Securities Dealing Services Annex
- CLSA Korea – Agreement on Opening of Equity Trading Accounts
- CLSA Korea – Agreement On Opening of Derivatives Trading Accounts
- CLSA Korea – DMA Service Terms Conditions
- CLSA Korea – Form of Consent Letter
- CLSA Korea – Letter of Client ( Identification of Director and Beneficial Owner )
- CLSA Korea – Short Sell Policy & Procedures and Long Sell Confirmation
- CLSA Korea – Confirmation on Short Sell Orders & Letter of Commitment for Compliance
- CLSA Korea – Letter to Client (Confirmation of Record Keeping on SBL)
- CLSA Korea – Notification on the Investment Fund Group
- CLSA Korea – Information Letter on the Methods to Accept / Process Trade Order
CLSA Securities Malaysia Documentation
Best Execution Policy Statements
- Hong-Kong-Best-Execution-Policy
- Australia Best Execution obligation Disclosure
- Japan Best Execution Policy Statement
- Singapore Best Execution Policy
Other Notices and Policies
- Notification to Singapore clients
- ASIC Class Order Disclosure
- Hong Kong Risk Explanation Statement for Exchange-traded Derivatives
- Short Selling In Australia-Partial Lifting of Ban and New Disclosure Obligations
- Notice to Canadian Client for the Purpose of the CLSA Global Markets Pte Ltd Asian Securities Programme (Certificates)
- Singapore – Explanation of Effect of Being Treated as an Accredited Investor under the Consent Provisions
- Japan Insider Registration Requirement
- Japan Basic policy for antisocial forces