The below information applies to trading of non-US index options, OTC CFDs and non-US index futures (when combined with non-US index options)

Interactive Brokers (U.K.) Limited

Customer Assets
Interactive Brokers (U.K.) Limited (“IBUK)’’ is authorised and regulated by the Financial Conduct Authority (“FCA“), register no. 208159. IBUK is a wholly owned subsidiary of Interactive Brokers Group (IBG LLC). IBUK provides client money and client asset services in accordance with FCA Client Assets regulations “CASS”.

Client money is protected as follows:
Client money rules apply to all regulated firms that receive money from a client, or hold money for a client in the course of carrying out MiFID business and/or designated investment business.

Client money is entirely segregated from IBUK’s own money. In the event of a failure of an authorised firm, clients’ monies held in the segregated accounts will be returned to the clients rather than being treated as a recoverable asset by general creditors. If there was a shortfall, the client may be eligible to claim for compensation from the Financial Services Compensation Scheme (“FSCS”).

Client money is ring-fenced in separate bank accounts which are held in trust on behalf of the clients. These accounts are distributed across a number of banks with investment grade ratings to avoid a concentration risk with any single institution. When IBUK makes the selection and appointment of a bank to hold client money, it takes into account the expertise and market reputation of the bank, its financial standing and any legal requirements or market practices related to the holding of client money that could adversely affect clients' rights.

IBUK will allow client money to be held in a client transaction account by an exchange, a clearing house or an intermediate broker but only if the money is transferred to them for the purpose of a transaction or to meet a client’s obligation to provide collateral for a transaction.

Each day, IBUK performs a detailed reconciliation of client money held in client money bank accounts and client transaction accounts and its liabilities to its clients to ensure that client monies are properly segregated and sufficient to meet all liabilities in accordance with the FCA’s CASS rules. All monies credited to such bank accounts are held by the firm as trustee (or if relevant, as agent).

FCA regulations also require IBUK to maintain a CASS Resolution Pack to ensure that in the unlikely event of the firm's liquidation, the Insolvency Practitioner is able to retrieve information with a view to returning client money and assets to the firm's clients on a timely basis.

Financial Services Compensation scheme

Interactive Brokers (U.K.) Limited (“IBUK”) is authorised and regulated by the Financial Conduct Authority (“FCA”) as an investment firm and a participant in the Financial Services Compensation scheme (“FSCS”). Certain eligible clients qualify for
compensation under the FCA Compensation rules.

The main points relating to eligibility are:

• FSCS pays compensation only to eligible claimants when an authorised firm is in default and will carry out an investigation to establish whether or not this is the case.
• FSCS pays compensation only for financial loss and the limits for U.K. Investment firms are covered below.
• The FSCS was set up mainly to assist private individuals, although smaller businesses are also covered.
• Larger businesses are generally excluded.

Investments

FSCS provides protection if an authorised investment firm is unable to pay claims against it e.g. when an authorised investment firm goes out of business and cannot return assets to its clients. Assets classified as investments for authorised investment firms under the FSCS include stocks and shares, futures, options, cfds, other regulated instruments and money deposited by clients.

Compensation Limits

The actual level of compensation you receive will depend on the basis of your claim. The FSCS only pays compensation for financial loss. Compensation limits are per person per authorised firm. Compensation levels are subject to change and for current details please refer to the FSCS website at http://www.fscs.org.uk / .
 

The below information applies to customers who were or are continuing to trade all products (except metals and OTC CFDs) through IB LLC.

Interactive Brokers LLC (“IBLLC”)

Customer Assets
Customer money is segregated in special bank or custody accounts, which are designated for the exclusive benefit of customers of IBLLC. This protection (the SEC term is “reserve” and the CFTC term is “segregation”) is a core principle of securities and commodities brokerage. By properly segregating the customer's assets, if no money or stock is borrowed and no futures positions are held by the customer, then the customer's assets are available to be returned to the customer in the event of a default by or bankruptcy of the broker.

Securities accounts with no borrowing of cash or securities
Securities customer money is protected as follows:

• A portion is deposited at 14 large U.S. banks in special reserve accounts for the exclusive benefit of IBLLC's customers. These deposits are distributed across a number of banks with investment-grade ratings so that we can avoid a concentration risk with any single institution. No single bank holds more than 5% of total customer funds held by IBLLC.
• A portion may be invested in U.S. Treasury securities, including direct investments in short-term Treasury bills and reverse repurchase agreements, where the collateral received is in the form of U.S. Treasury securities. These transactions are conducted with third parties and guaranteed through a central counterparty clearing house (Fixed Income Clearing Corp., or “FICC”). The collateral remains in the possession of IBLLC and held at a custody bank in a segregated Special Custody Account for the exclusive benefit of customers. U.S. Treasury securities may also be pledged to a clearing house to support customer margin requirements on securities options positions.
• Customer cash is maintained on a net basis in the reserve accounts, which reflects the net credit balances of customers in excess of customer debit balances. To the extent any one customer maintains a margin loan with IBLLC, that loan will be fully secured by stock valued at up to 200% of the loan.
• Current SEC regulations require broker-dealers to perform a detailed reconciliation of customer money and securities (known as the “reserve computation”) at least weekly to ensure that customer monies are properly segregated from the broker-dealer's own funds.

Customer-owned, fully-paid securities are protected in accounts at depositories and custodians that are specifically identified for the exclusive benefit of customers. IBLLC reconciles positions in securities owned by customers daily to ensure that these securities have been received at the depositories and custodians

Commodities accounts

Commodities customer money is protected as follows:

• A portion is pledged to futures clearing houses to support customer margin requirements on futures and options on futures positions or held in custody accounts identified as segregated for the benefit of IB's customers.
• A portion is held at commodities clearing banks/brokers in accounts identified as segregated for the benefit of IBLLC customers to support customer margin requirements.
• Cash in commodities accounts is protected in accordance with US commodities regulations. CFTC rules prohibit an FCM from commingling customer funds with its own money, securities or property. Customer funds must be separately accounted for and segregated as belonging to commodity or option customers. The titles of accounts in which customer funds are deposited must clearly indicate this and show that the funds are segregated as required by the Commodity Exchange Act (“CEA”) and CFTC Rules. Customer funds may not be obligated to anyone except to purchase, margin, guarantee, secure, transfer, adjust or settle trades, contracts or commodity option transactions of commodity or option customers. These requirements also extend to U.S. customers trading on foreign exchanges.

Securities accounts with margin loans

For customers who borrow money from IBLLC to purchase securities, IBLLC is permitted by securities regulations to pledge or borrow stock valued at up to 140% of the value of the loan. Typically, IBLLC lends out a small portion of the total stock it is permitted to lend out.

• As an example, at June 30, 2011, IBLLC lent $800 million value of customers' stock out of the $13.0 billion made available to it by margin customers.
• When IBLLC lends customers' stock, it must put additional money into the special reserve accounts for the exclusive benefit of customers. In the example above, the full value of $800 million of customer stock that was lent was segregated in the special reserve accounts.

Account Protection

Customer securities accounts at IBLLC are protected by the Securities Investor Protection Corporation (“SIPC”) for a maximum coverage of $500,000 (with a cash sublimit of $250,000) and under IBLLC's excess SIPC policy with certain underwriters at Lloyd's of London for up to an additional $30 million (with a cash sublimit of $900,000) subject to an aggregate limit of $150 million. Futures, and options on futures are not covered. As with all securities firms, this coverage provides protection against failure of a broker-dealer, not against loss of market value of securities.

For the purpose of determining a customer account, accounts with like names and titles (e.g. John and Jane Smith and Jane and John Smith) are combined, but accounts with different titles are not (e.g. Individual/John Smith and IRA/John Smith).

SIPC is a non-profit, membership corporation funded by broker-dealers that are members of SIPC. For more information about SIPC and answers to frequently asked questions (such as how SIPC works, what is protected, how to file a claim, etc.), please refer to the following websites:

http://www.SIPC.org

http://www.finra.org/InvestorInformation/InvestorProtection/SIPCProtecti...

or contact SIPC at:

Securities Investor Protection Corporation
805 15th Street, N.W. - Suite 800
Washington, D.C. 20005-2215
Telephone: (202) 371-8300
Facsimile: (202) 371-6728

申請DSC+

1. 點擊請求實物設備按鈕。

3. 為您的DSC+輸入四位Soft PIN碼¹。請牢記輸入的PIN碼，之後激活和操作設備需要用到。如需要，您可更改將暫扣20美元設備預備金的賬戶²。點擊繼續完成此步。

4. 系統將顯示概覽信息。請確保顯示的信息均準確無誤。如果需要修改，請點擊頁面底部的返回按鈕（不是瀏覽器的返回按鈕）；如無需修改，請點擊繼續提交申請。

5. 您會看到最終的確認信息，其中會給出預估的寄件日期³。點擊確定完成程序。

注意

1. PIN碼相關指南請參見KB2269。

2. 安全設備和設備郵寄均為免費。但是，在您申請設備時，我們會凍結您的一小筆資金（20美元）。如果設備遺失、故意損壞、被盜或者如果您關閉賬戶時未能將設備退回IBKR，我們將扣除該筆資金以補償硬件損失。任何其它情況下，在您將設備退回IBKR後，該筆資金便會解除凍結。更多 信息請參見KB1861。

3. 出於安全考慮，替換設備會在寄出之日起三周內自動激活。臨近自動激活時，IBKR會通知您。

參考 

• KB1131：安全登錄系統概述
• KB2636：安全設備相關信息與程序
• KB2481：如何在多個使用者之間共享安全登錄設備的說明
• KB2545：如何在退出後重新加入安全登錄系統的說明
• KB975：如何將安全設備退回IBKR的說明
• KB2260：通過移動IBKR激活IB Key驗證的說明
• KB2895：多重雙因素系統（M2FS）
• KB1861：安全設備費用信息
• KB69：臨時密碼有效期的相關信息

激活程序

1. 打开浏览器，前往ibkr.com

2. 点击登录

6. 界面将显示您的在线安全卡。点击打印²

7. 确保卡片已完整打印并且内容清晰可辨。然后点击继续 

8. 激活界面将会显示两个索引号码。请在在线安全卡上找到第一个索引号码，将其对应的三位代码输入卡值框内。然后用第二个索引号码进行相同操作，代码之间不要留空格。然后点击继续

9. 您将会看到一条确认信息，其中会注明此在线安全卡的到期日期。点击确认完成此程序

注意

1. 如果使用的是旧版账户管理，请点击管理账户 > 安全 > 安全登录系统 > 安全设备

在点击继续确认前，请确保安全卡图片已成功保存到您的设备并且内容清晰可辨。

参考：

• KB1131：安全登录系统概述
• KB1943：请求替换数码安全卡+
• KB2636：安全设备相关信息与程序
• KB2481：如何在多个使用者之间共享安全登录设备
• KB2545：退出安全登录系统后如何重新加入
• KB975：如何将安全设备退回给IBKR
• KB2260：如何通过移动IBKR激活IB Key验证
• KB2895：多重双因素验证（M2FS）
• KB1861：安全设备费用信息
• KB69：临时密码有效期

Account holders logging into their account via IBKR's Secure Login System are issued a security device, which provides an additional layer of protection to that afforded by the user name and password, and which is intended to prevent online hackers and other unauthorized individuals from accessing their account. While IBKR does not charge any fee for the use of the device, certain versions require that the account holder return the device upon account closing or incur a replacement fee.  Existing account holders are also subject to this replacement fee in the event their device is lost, stolen or damaged (note that there is no fee to replace a device returned as a result of battery failure). 

In addition, while IBKR does not assess a replacement fee unless a determination has been made that the device has been lost, stolen, damaged or not returned, a reserve equal to the fee will placed upon the account upon issuance of the device to secure its return.  This reserve will have no effect upon the equity of the account available for trading, but will act as limit to full withdrawals or transfers until such time the device is returned (i.e., cannot withdraw the reserve balance).

Outlined below are the replacement fee associated with each device.

For instructions regarding the return of security devices, please see KB975

¹ The Security Code Card is not required to be returned upon account closing and may be destroyed and discarded once remaining funds have been returned and the account has been fully closed. Access to Client Portal after closure for purposes of viewing and retrieving activity statements and tax documents is maintained using solely the existing user name and password combination. This type of two-factor security is no longer being issued.