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.
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
DBSI Audited Statement of Financial Condition
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:
Show content of Statements from Focus Reports
Show content of Financial information regarding DBSI’s Capital
Financial information regarding DBSI’s Capital for the most current 12 month period as part of the FCM’s FOCUS report can be found by accessing the below file:
Additional Financial information on all FCM’s is available from the CFTC by accessing the below site: