Transparency + Regulatory Liquidnet, Inc. Form ATS-N The Form ATS-N filings for the Liquidnet Negotiation and H2O ATSs are now public. Investment Protection Principles Liquidnet fully supports the Investment Protection Principles made effective July 1, 2002, by the states of North Carolina and New York and has adopted these principles as they apply to Liquidnet business. SEC Rule 606 Quarterly Reports This is a link to Liquidnet's most recent quarterly report on routing of customer orders, in accordance with Rule 606 of the SEC’s Regulation NMS. Monthly Order Execution Reports This is a link to the monthly order execution reports for the Liquidnet Negotiation and H2O ATSs, in accordance with Rule 605 of the SEC’s Regulation NMS. SIPC and FINRA Liquidnet is a Member of the Securities Investors Protection Corporation (SIPC) and Financial Industry Regulatory Authority (FINRA). For more information, please visit the SIPC website at https://www.sipc.org/ and the FINRA website at http://www.finra.org/. Liquidnet EU Limited Order Execution Policy Liquidnet EU Limited - order execution policy (including information on Limit Orders, Execution Venues, Trade and Transaction Reporting and Material Interests) Conflicts Policy Liquidnet EU Limited - arrangements for managing conflicts of interest and policy on inducements MTF Participation Rules - Equities Equity Transactions - Rules for participation in Liquidnet EU Limited MTF Participation Rules - Fixed Income Fixed Income Transactions - Rules for participation in Liquidnet EU Limited Liquidnet Equity MTF – Fee Schedule Fee schedule for Equities MTF Liquidnet Fixed Income MTF – Fee Schedule Fee schedule for Fixed Income MTF LIQUIDNET EU LIMITED (LNEU) RTS 28 DISCLOSURE On an annual basis Liquidnet EU Limited (LNEU) are required under the requirements of Regulated Technical Standard 28 and Delegated Acts, Article 65 of MiFID II to provide additional disclosures around the execution venues and brokers utilised for each asset class and certain information on the quality of execution. Pillar 3 Disclosure Details of Liquidnet EU Limited's regulatory capital requirements and risk assessment processes. Liquidnet Europe Limited Liquidnet Equity MTF – Fee Schedule Fee schedule for Equity MTFs Liquidnet Europe Limited (LNEL) RTS 27 Disclosure On a quarterly basis, under the requirements of Regulated Technical Standard 27 (“RTS 27”) of MiFID II, Liquidnet Europe Limited (LNEL) must provide disclosures around the trades executed on its trading venues and the quality of their execution. LIQUIDNET EUROPE LIMITED (LNEL) RTS 28 DISCLOSURE On an annual basis Liquidnet Europe Limited (LNEL) are required under the requirements of Regulated Technical Standard 28 and Delegated Acts, Article 65 of MiFID II to provide additional disclosures around the execution venues and brokers utilised for each asset class and certain information on the quality of execution. Liquidnet Fixed Income MTF - Fee Schedule Fee schedule for Fixed Income MTFs Pre-Trade and Post-Trade Transparency – Fixed Income Pre-trade and post-trade transparency data for orders and executions in fixed income securities reported by Liquidnet Europe Limited in accordance with applicable regulations. Order Execution Policy Liquidnet Europe Limited-- order execution policy (including information on Limit Orders, Execution Venues, Trade and Transaction Reporting and Material Interests) Conflicts Policy Liquidnet Europe Limited-- arrangements for managing conflicts of interest and policy on inducements FCA Remuneration Code Disclosure Details of Liquidnet Europe Limited's remuneration disclosure Pillar 3 Disclosure Details of Liquidnet Europe Limited's regulatory capital requirements and risk assessment processes. Recent European Security Executions Details of the latest South African equity execution in Liquidnet Europe's system MTF Participation Rules - Equities Equity Transactions - Rules for participation in Liquidnet Europe Limited MTF Participation Rules - Fixed Income Fixed Income Transactions - Rules for participation in Liquidnet Europe Limited Liquidnet Asia Limited Alternative Liquidity Pool Guidelines SFC Code of Conduct requirements Liquidnet Japan Inc. Liquidnet Japan Public Disclosure (English language) Liquidnet Japan Public Disclosure (Japanese language) JFSA disclosure requirements Liquidnet Australia PTY Ltd. Crossing System Operator Public Disclosure Last updated 6 November 2020, to update other participants that we can access or that can access our Crossing System. ASIC disclosure requirements Liquidnet Canada Inc. Commissions and Fees – Equities Details of the Liquidnet Canada fee and commission structure for equities Commissions and Fees – Fixed Income Details of the Liquidnet Canada fee and commission structure for bonds Liquidnet Conflict of Interest Policy The Liquidnet Conflict of Interest Policy for Canada Liquidnet Canada Trading Rules Summary A Summary of Liquidnet Trading Rules for Canada Canada Order Handling and Best Execution Policy An overview of how Liquidnet Canada handles their orders when trading on multiple Canadian marketplaces Connectivity Technical instructions for how to connect to LN FIX system IIROC Marketplace Thresholds As mandated by IIROC, Liquidnet Canada has implemented marketplace thresholds effective August 19th, 2016. Liquidnet Canada Inc. is a member of the Canadian Investor Protection Fund (CIPF) More information about the Canadian Investor Protection Fund (CIPF) can be found at www.cipf.ca. Liquidnet Canada Inc. is regulated by IIROC More information about the Investment Industry Regulatory Organization of Canada (IIROC) can be found at www.iiroc.ca. Disclaimers © 2021 Liquidnet Holdings, Inc. and its subsidiaries. Liquidnet, Inc. is a member of FINRA/SIPC. Liquidnet Europe Limited is authorised and regulated by the Financial Conduct Authority in the UK, is licensed by the Financial Sector Conduct Authority in South Africa, and is a member of the London Stock Exchange and a remote member of the SIX Swiss Exchange. Liquidnet EU Limited is authorised and regulated by the Central Bank of Ireland and is a remote member of the Warsaw Stock Exchange. Liquidnet Canada Inc. is a member of the Investment Industry Regulatory Organization of Canada and a member of the Canadian Investor Protection Fund. Liquidnet Asia Limited is regulated by the Hong Kong Securities and Futures Commission for Type 1 and Type 7 regulated activities and is regulated by the Monetary Authority of Singapore as a Recognized Market Operator. Liquidnet Japan Inc. is regulated by the Financial Services Agency of Japan and is a member of JSDA/JIPF. Liquidnet Australia Pty Ltd. is registered with the Australian Securities and Investment Commission as an Australian Financial Services Licensee, AFSL number 312525, and is registered with the New Zealand Financial Markets Authority as a Financial Service Provider, FSP number FSP3781. Liquidnet Singapore Private Limited is regulated by the Monetary Authority of Singapore as a Capital Markets Services Licensee, CMSL number CMS 100757-1. Liquidnet Holdings, Inc. and its subsidiaries are part of TP ICAP Group plc. Client Login My Liquidnet Liquidnet Fixed Income Liquidity Partners Follow Us Expert Insights Contact Us Get In Touch Locations + Contacts Open Positions info@liquidnet.com +1 866 547 8434 Vendor Support © 2021 Liquidnet Holdings, Inc. and its subsidiaries are part of TP ICAP Group plc. All rights reserved. Liquidnet Japan Transparency + Regulatory Modern Slavery Statement Privacy Statement Terms of Use We use cookies to enable key site features and to give you the best online experience when visiting our website. By clicking "Accept Cookies", you agree to cookies being placed on your device to enhance site navigation and provide us with greater understanding about how visitors use our website. To find out more, please visit our Cookie Policy.Cookie Notice Cookies Settings Reject All Accept All Cookies