Deutsche Bank Securities Inc. FCM Disclosure Document

The Commodity Futures Trading Commission requires each futures commission merchant (FCM), including Deutsche Bank Securities Inc. (DBSI), to disclose certain information about the FCM to customers prior to the time a customer first enters into an account agreement with the FCM or deposits money or securities (funds) with the FCM. The Firm Specific Disclosure Document is intended to enable customers to make informed judgments regarding the appropriateness of selecting an FCM by providing information for the meaningful comparisons of business models and risks across FCMs.  

This webpage contains DBSI's Firm Specific Disclosure Document which may be updated from time to time. Paper copies of the document are also available upon request.

Please contact your relationship manager with any questions.

Deutsche Bank Securities Inc. FCM Disclosure Document [PDF/47kb]

 

Prior Statements

Additional Financial information on all FCM’s is available from the CFTC by accessing the below site:
www.cftc.gov/MarketReports/FinancialDataforFCMs/index.htm
In cases where such balances are amended post filing with the CFTC, DBSI will reflect such amendments below.

The Summary schedule of DBSI’s adjusted net capital, net capital and excess net capital, reflecting balances as of the month-end for the 12 most recent months can be accessed www.cftc.gov/MarketReports/FinancialDataforFCMs/index.htm
In cases where such balances are amended post filing with the CFTC, DBSI will reflect such amendments below.

DBSI’s Statement of Financial Condition, the Statement of Segregation Requirements and Funds in Segregation, the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers, the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts, and all related footnotes to the above schedules that are part of FCM’s most current certified annual report can be found by accessing the below links:
DBSI Seg Sec Statement [PDF/107KB]
DBSI Audited Statement of Financial Condition [PDF/533KB]

 

DBSI’s Statement of Segregation Requirements and Funds in Segregation, the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers, and the Statement of Cleared Swaps Customer Accounts that are part of FCM’s unaudited Form 1-FR-FCM or FOCUS Report for the most current 12-month period can be found by accessing the below links:

 

Financial information regarding DBSI, including how it invests and holds customer funds, may be obtained by accessing the below link and entering “0210600” in the “Search by NFA ID Number” field. Next select, “View Financial Information” in the “FCM Financial Information” field.
www.nfa.futures.org/basicnet
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Last Update: March 27, 2015
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