Company: CRCL
Filing Date: 2025-08-04
Form Type: DRS
Source: 0000950123-25-006942
Chunk: 245

Company: Circle Internet Group, Inc.
Filing Date: 2025-08-04
Form: DRS
Chunk 245
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 designed to ensure our
compliance with applicable anti-bribery laws, regulations, and supervisory guidance.

Broker-dealer

SI Securities, LLC, one of our subsidiaries, is licensed and registered with the SEC as a broker-dealer and is a member of FINRA and SIPC. Brokers and dealers
are required to be registered with the SEC and are subject to comprehensive regulation by the SEC and FINRA, in addition to state securities regulators and certain other governmental authorities. SI Securities, LLC is currently authorized to engage
only in the business of effecting private placements of securities for the accounts of others. In July 2024, SI Securities, LLC entered into a letter of acceptance, waiver, and consent (an “AWC”) with FINRA. The AWC alleged that SI
Securities, LLC, during the time that it operated the SeedInvest crowdfunding platform, violated certain provisions of the Exchange Act and FINRA rules in connection with the operation of that platform. SeedInvest was our equity crowdfunding
platform that we divested in May 2023. SI Securities, LLC agreed to pay a monetary sanction to resolve the allegations. The monetary sanction was paid on July 8, 2024 and no other sanction remains in effect.

Privacy and protection

We are subject to a number of
laws, rules, directives, and regulations relating to the collection, use, retention, security, processing, and transfer of personally identifiable information about our customers and employees in the countries where we operate. Our business relies
on the processing of personal data in many jurisdictions and the movement of data across national borders. As a result, much of the personal data that we process, which may include certain financial information associated with individuals, is
regulated by multiple privacy and data protection laws and, in some cases, the privacy and data protection laws of multiple jurisdictions. In many cases, these laws apply not only to third-party transactions, but also to transfers of information
between or among us, our subsidiaries, and other parties with which we have commercial relationships. Our information security program is consistent with widely accepted industry standards such as the NIST Cybersecurity Framework and ISO 27002 and
has been extended to include controls specific to the safekeeping and availability of digital assets in our custody. In addition to these traditional security controls, we further protect digital assets via strong key management controls, the
offline storage of funds, financial “circuit breaker” controls, and other controls specific to preventing cyberattacks against blockchain infrastructure. Our internal controls testing program and