Regulatory Disclaimer

Neither Symphony Communication Services, LLC (together with its affiliates, “Symphony”) nor the services which Symphony offers to its customers (“Symphony Services”) is subject to the oversight or jurisdiction of any financial regulatory body.

Symphony is not, and shall not be construed as, a registered broker-dealer, an underwriter of securities, an introducing broker, or an entity performing similar or other regulated functions. Similarly, Symphony is not registered as, or to be construed as, a multilateral facility (including but not limited to a SEF, MTF or OTF), trading venue, regulated market or exchange. Because Symphony does not act in these capacities, nor is Symphony registered to do so, any indication to the contrary on the website or in any other document provided to you by Symphony shall be interpreted to the maximum extent so as not to imply that Symphony is acting in such capacity (or in any other capacity that is subject to regulatory oversight or subject to a requirement to register with a financial regulator).

Any Symphony Service that permits customers to negotiate the terms of any financial instrument is offered, and only capable of being used, on a purely bilateral basis. Symphony has no role or involvement in the negotiation or arranging of any transactions in financial instruments nor in the introduction of counterparties to one another for purposes of entering into such transactions. The execution of any such transaction is solely as between the counterparties thereto, and Symphony does not perform any execution, clearing or settlement function for any financial instrument transaction. To the extent that any Symphony customer utilizes Symphony Services for purposes of negotiating financial instruments, it is solely the responsibility of such customer to comply with any regulatory requirements to which such customer, or such negotiation, may be subject.

Neither this website, nor the offering by Symphony, or use by any Symphony customer, of any Symphony Service, shall be construed as a solicitation, endorsement, offer or recommendation by Symphony to buy, sell or hold any financial instrument, or an offer to provide any investment advice or investment services to any person in any jurisdiction. Readers of this website and users of all Symphony Services alone assume the responsibility of evaluating the merits and the risks associated with the use of the Symphony Services.

Furthermore, certain of the statements and terms contained in this website may be forward-looking and contain concepts, product ideas or functionalities that are not currently part of the Symphony Service suite, but are instead contemplated by Symphony to be offered to customers at a future date. There is no guarantee that any such functionality will be offered by Symphony, and until such time, if any, as a particular functionality is included in the Symphony Services pursuant to a contractual agreement between Symphony and the customer utilizing such functionality, the depiction of such concepts, ideas and functionalities shall be construed as forward-looking only.

Nothing in this website or in the operation of any Symphony Service constitutes a representation by Symphony that is contrary to the foregoing disclaimers.