Regulatory Disclosures

Cowen inc.

• Business Continuity
• Terms of Use
• US Privacy Notice
• Non-U.S. Privacy Notice
• Online Privacy & Cookie Policy
• Social Media Terms & Conditions

Cowen and Company, LLC

Member FINRA, NYSE, MSRB and SIPC.

• Trading Disclosure
• Electronic Communications Disclosure
• SEC Rule 605
• SEC Required Reporting on Routing of Customer Orders (SEC Rule 606)
• ETF Rules of Engagement
• 408(b)2 ERISA Disclosure
• Podcast Disclosure

ATM Execution llc

Member FINRA, NYSE and SIPC.

• SEC Rule 606
• Cowen Electronic Disclosure

Cowen Execution Services Limited

Authorized and regulated by the FCA.

• UK Bribery Act
• Limited Terms of Business
• Order Execution Policy
• MIFID II Best Execution: Trading venues and qualitative report for execution obtained for 2018
  • Download RTS28 Tables
• Non-U.S. Privacy Notice

Cowen Execution Services LLC

Member FINRA, NYSE, MSRB and SIPC.

• Global Terms and Conditions
• ADR Direct & Reverse ADR Terms and Conditions
• SEC Rule 605
• SEC Rule 606
• CES Confirmation Backer

COWEN INTERNATIONAL LIMITED

Authorized and regulated by the FCA.

• PRIME: Order Execution Policy
• Prime:  MIFID II Best Execution: Trading venues & qualitative report for execution obtained for 2018
  • Download RTS28 Tables
• Non-U.S. Privacy Notice

Cowen Prime Services LLC

Member FINRA, MSRB and SIPC.

• Privacy Statement
• Execution Quality Statement
• SEC Rule 606
• Futures Disclaimer
• Patriot Act Disclosure

Kyber Data Science

• Kyber Data Science – Disclosures and Disclaimers
• Kyber Health Data – Third Party Terms

WESTMINSTER RESEARCH ASSOCIATES LLC

Member FINRA AND SIPC.