有关客户资产保护的信息

下列信息适用于非美国指数期权、场外(OTC)差价合约(CFD)及非美国指数期货(与非美国指数期权相结合时)的交易

 

盈透证券(英国)有限公司


客户资产
盈透证券(英国)有限公司("IBUK")由金融市场行为监管局(FCA)授权并规管,注册号码208159。IBUK是由盈透证券集团(IBG LLC)全资拥有的子公司。IBUK按照FCA客户资产规则"CASS"提供客户资金与客户资产服务。

客户资金受到下列保护:

客户资金规则适用于所有在从事金融工具市场法规(MiFID)业务及/或指定投资业务的过程中从客户处收取资金,或持有客户资金的规管公司。

客户资金与IBUK自有资金完全分离。如果出现授权公司破产的情况,在分离账户中持有的客户资金将被归还给客户而不是被债权人看做可收回资产。如果出现差额,客户可能有资格向金融服务补偿计划("FSCS")要求补偿。

客户资金圈定在独立银行账户中,以信托形式在客户名义下持有。这些账户分散在多家具有投资等级评级的银行中,以避免一家机构的风险集中性。IBUK选择并指定持有客户资金的银行时会考虑银行的专业性、市场声誉、财务状况及任何可能对客户权利有负面影响的有关客户资金持有的法律要求及市场惯例。

IBUK仅在以下情况下允许交易所、清算所或中介经纪商在客户交易账户中持有客户资金:向其转账资金是用于交易或用于满足客户提供交易抵押的义务。

IBUK每天对在客户资金银行账户及客户交易账户中持有的客户资金及其对客户的负债作详细的对账,确保客户资金被恰当隔离,且足够满足FCA的CASS规则要求的所有债务。所有计入这些银行账户的资金公司均作为受托人持有(或者如果相关,作为代理)。

FCA规则还要求IBUK维持CASS决议,以确保万一公司发生清算的情况下,破产管理人能够查找信息以便向公司客户及时归还客户资金及资产。

金融服务补偿计划

盈透证券(英国)有限公司("IBUK")是由金融市场行为监管局("FCA")授权并规管的投资公司,以及金融服务补偿计划("FSCS")成员。按照FCA补偿规则,某些合格客户有资格获得补偿。

有关合格性的要点为:

  • FSCS仅在授权公司欠款的情况下才向合格申请人支付赔偿并将调查是否存在该事实。
  • FSCS仅赔偿财务损失,对U.K.投资公司的限制在下面列出。
  • FSCS的设立主要为了帮助个人,尽管小型公司也包括在内。
  • 大型公司通常排除在外。

投资

如果授权投资公司无法满足索赔,则FSCS提供保护——例如,如果一家授权投资公司破产,不能将资产返还给其客户。FSCS授权投资公司归类为投资的资产包括股票与股份、期货、期权、CFD及其他由客户投入的规管金融工具及资金。

赔偿限制

 

您收到的实际赔偿水平将基于您的索赔。FSCS仅支付金融损失赔偿。赔偿限制限各授权公司,各个人。

当前对投资的最高赔偿水平为各公司各人5万英镑(向从2010年一月1日起被宣布欠款的公司提出的索赔)。赔偿水平可能变化,要获取最新详情请见FSCS网站://www.fscs.org.uk / 。
 

下列信息适用于所有曾经或继续通过IB LLC交易所有产品(除金属及OTC CFD)的客户。

 

盈透证券有限公司("IBLLC")


客户资产
客户资产隔离在指定给IBLLC客户的专用特殊银行或托管账户中。该保护(SEC称为“储备”,CFTC称为“隔离”)是证券和商品经纪的核心原则。通过妥善分离客户资产,如果客户没有借入资金或股票,且未持有期货头寸,那么倘若经纪商违约或破产,客户资产可以返还给客户。


无借贷现金或证券的证券账户

证券客户资金保护如下:

  • 一部分存在14家大型美国银行的IBLLC客户专用特殊储备账户中。这些存款分布在多家具投资等级评级的银行,以避免任何单个机构带来的集中风险。每间银行持有的资金不超过IBLLC所持客户资产的5%。
  • 一部分投资于美国国债,包括直接投资短期国债和以美国国债作为抵押的反向回购协议。这些交易与第三方进行并通过中央对手方清算所(固定收益结算公司,即 “FICC”)担保。抵押为IBLLC所有并存放在托管银行客户专用的隔离储备保管账户。美国国债也可质押给清算所用以支持客户所持证券期权头寸的保证金要求。
  • 客户现金在储备账户中以净值为基础,反映超出客户借方余额的净贷方余额。已达到任一客户在IBLLC有保证金借贷,该借贷都有价值借贷额度200%的股票进行担保的程度。
  • 目前美国证券交易委员会(SEC)要求经纪交易商至少每周对客户的资金和证券进行详细核对(也称为“储备计算”),以确保客户的资金准确地与经纪交易商的基金分离。

客户拥有的、全额支付的证券在明确认定的客户专用存管和托管账户中受到保护。IBLLC每日核对客户拥有的证券头寸,确保存管和托管机构已收到这些证券。

商品账户

商品客户资金保护如下:

  • 一部分质押给期货清算所用以支持客户所持期货及期货期权头寸的保证金要求,或在确定为用于隔离IB客户资金的托管账户中持有。
  • 一部分存放在确定为隔离IBLLC客户资金的商品清算银行/经纪商账户中,以支持客户保证金要求。
  • 按商品法规定,客户资金受到实时保护。IBLLC每日对客户资产进行详细核对,以确保客户资金被恰当分离。计算结果每日提交给监管机构。

有保证金借贷的证券账户 

向IBLLC借款买入证券的客户,证券法规允许IBLLC最高抵押或借入价值借贷价值140%的股票。通常,IBLLC借出其获许借出股票总数中的一小部分。

  • 例如,在2011年6月30日,IBLLC从保证金客户提供的130亿美元股票中借出8亿美元。
  • 当IBLLC借出客户的股票时,必须将额外资金存入指定储备账户,为客户设置预留金额。在上面的例子中,借出的客户股票的总价值8亿美元隔离在特殊储备金账户中。

账户保护 

IBLLC客户证券账户受到证券投资人保护公司("SIPC")最高达50万美元(现金额度25万美元)的保护,且根据IBLLC与伦敦劳埃德保险公司 (Lloyd's of London)承销商协定的超SIPC赔额政策,证券账户还享有额外最高达3000万美元(现金额度90万美元)的保护,总限额一亿五千万。期货、期货期权不包含在内。与所有证券公司相同,此类保险在经纪交易商倒闭时为客户提供保护,而不是针对证券市场价值的损失。

出于确定客户账户的目的,有相似的名字和名称的账户被合并在一起(例如:John和Jane Smith与Jane和John Smith),但名称不同的账户不合并(例如:个人/John Smith和个人退休账户/John Smith)。

SIPC是一个非盈利性质,由SIPC成员经纪交易商集资的成员性质的公司。查看关于SIPC的更多信息和常见问题解答(例如SIPC怎样运作,什么受到保护,怎样索赔,等等),请参见以下网站:


http://www.SIPC.org

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

或联系SIPC,地址如下:

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

 

Information Relating to Customer Protection of Assets

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

 

How to send documents to IB using your smartphone

Overview: 

Interactive Brokers allows you to send us a copy of a document even if you do not currently have access to a scanner. You can take a picture of the requested document with your smartphone.

Below you will find the instructions on how to take a picture and send it to IB per email with the fllowing smartphone operating systems:

iOS (iPhone)

Android (i.e. Samsung Galaxy, HTC One X, Sony Xperia, Motorola Droid)

Windows Phone (i.e. Nokia Lumia, HTC Titan, Samsung Focus)

 If you already know how to do so, please consult the instructions about the information you will need to send us aside from the document picture. Click HERE - Where to send the email to and what to include in the subject.

iOS
1. Press the power button to turn your iPhone screen on. Tap, hold and slide upwards the
Camera icon on the bottom right of your screen then drag it upwards to access the Camera.

slide up from the lock screen to take a picture

- If you do not have the Camera icon, you may access the Camera app from the home screen
of your iPhone.
2. Place your iPhone above the document and take the desired portion or page of the document
and tap on the Camera button (designated with 1 on the below illustration - Fig. 3) to take a
photo. Then you need to access the picture - tap the image in the lower left-hand corner (number 2 in the
illustration)

Tap here to take a picture

3. Exit to the home screen by pressing the round Home button on the face of the iPhone.
4. Open the Photos app
5. Next, tap the album ‘Camera Roll’. Make sure that the picture is clear and the document
is well legible, if it isn’t, please repeat the previous two steps.
6. Touch once the picture to make the menus appear and tap the share icon
designated with 1 in the illustration below.

Share button iOS

5. Select the first option - Email Photo. Please consult the following instructions for the next step - what address you should send the picture to and what else to include aside from the document, HERE.
Note: to send emails your phone has to be configured for that. Please contact your email
provider if you are not familiar with this procedure.


Android
1. Open your applications list and start the camera app. Depending on your phone model, make or setup it might be called differently.
2. Place your phone over the document and take the desired portion or page of the document and
tap the icon for the camera. (The generic button will look like the one shown below.)

Tap to take a picture
3. Press the Home key to go back to the idle screen. Go back to the apps list and start the Gallery
application. On some phones it may be called Pictures or Photos.
4. Open the album called Camera or All pictures. The last image in either of those should be the
document you just took a picture of. Tap the screen once to bring up the buttons and tap the share
icon, which generically should look as shown below.

Share on Android
5. In the sharing menu that will be displayed now tap on Email. Please consult the following instructions for the next step - what address you should send the picture to and what else to include aside from the document, HERE.
Note: to send emails your phone has to be configured for that. Please contact your email
provider if you are not familiar with this procedure.

Send per email

 

Windows Phone
1. Press the camera button in the Desktop menu of Windows phone. (If you do
not see the camera in the desktop menu, please scroll to the right and choose
camera in the listed applications)
2. Take a picture by pressing the trigger button on the side of the phone.
3. Open the picture by scrolling to the left and press the ‘...’ menu item
at the bottom task bar to see the available options.
4. Please choose send and the configured Email account you would like to use.
5. In the upcoming email, please add the destination email address, the
subject and the text you would like to send and press the ‘Send email’ button in
the bottom menu. Please consult the following instructions for the next step - what address you should send the picture to and what else to include aside from the document, HERE.
Note: to send emails your phone has to be configured for that. Please contact your email
provider if you are not familiar with this procedure.


WHERE TO SEND THE EMAIL AND WHAT TO INCLUDE IN THE SUBJECT
The email has to be created observing the below instructions:
1. In the ‘To:’ field type...
a. newaccounts@interactivebrokers.com if your you are a resident of a non-European country
b. newaccounts.uk@interactivebrokers.co.uk if you are a European resident
2. The subject field must contain all of the below:
a. Your account number (it usually has the format Uxxxxxxx, where x are numbers) or your
username
b. The purpose of sending the document. Please use the below convention:
i. PoRes for a proof of residential address
ii. PID for a proof of identity

如何要求替换安全设备

如果安全设备丢失、失窃或无法使用,请按下列步骤申请替换:

1、通知客户服务 - 您需要联系客户服务安排替换设备并获取临时登录权。请注意出于安全考虑,该服务能在电话核对过账户持有人身份后才能提供。核对过后,将为您分配临时码,这是您的永久设备随机生成的密码的静态版,因此在登录时需要与您的用户名和密码一起输入。

2、获得在线安全密码卡 - 临时码设有时限(2天内可以进入整个账户管理和交易平台,之后10天仅能进入账户管理部分区域),可供您登入账户管理替换为在线安全密码卡。该卡提供更高级的安全性、账户管理的全部功能(包括取款)并可以让您在不另联系客户服务的情况下重新激活永久设备。请见KB1873了解获取在线安全密码卡的步骤说明。

3、要求替换设备 - 激活在线安全密码卡时,页面将显示下列四个选项。选择申请新的安全登录设备并点击继续

接下来屏幕将显示详情如您将收到哪一种类型的替换设备、设备将寄到哪个地址以及预计邮寄日期和方式。如果您的替换设备要求输入PIN码才能激活(如电子安全卡、金或白金设备),我们还会为您提供在线说明,指导您创建PIN码并确定您的要求。

 

重要信息

- 作为安全预警,替换设备将在预计邮寄时间后短期内自动激活。而在线安全密码卡在邮寄日期之后也不会过期,我们强烈建议您在收到替换设备后重新激活您的永久设备,以防止账户登录受到干扰。重新激活说明请见KB1942

- 如果您的设备丢失、损毁、失窃或账户关闭后未归还,我们将收取一定费用以支付成本。该费用与设备功能相关,金额从20美元到150美元不等。

 

 

 

如何将我的安全设备归还给盈透证券

如果您要向盈透证券归还您的安全登录设备(因损坏、破损、账户整合或关闭),请按下列说明操作:

1、下载并打印安全登录设备归还表格

2、完成表格并与设备一起包装好。 

3、将包裹邮寄到下面适用的地址。

因为您要对设备的归还负责,为保护您的利益,我们强烈建议您在归还时使用加垫的信封和提供追踪号码的运输服务(如UPS、FedEx、DHL或USPS的特快专递)。寄出后请等待3天,以便盈透在您的账户中反映已收到归还的设备。请注意时间可能因运输服务的延迟而不同。

归还并替换需要额外行动

如果归还是为了替换而不是关闭账户,请致电我们的技术支持部门,拨打1-877-442-2757,选择选项2、6,再选择3,通知我们您的设备无法使用,我们会向您提供临时码供您进入账户,直到您收到新的安全登录设备。盈透提供多种设备类型,与每种类型相关的替换说明在下面列出:

 

白金用户:

如果您要归还白金安全登录设备(图1)并需要替换的设备,您需要登录账户管理申请新的设备。鉴于此设备的高度安全性,此步骤必须进行。只有在盈透确认收到了您归还的设备后您才可以申请新设备,因为一次只能有一份设备与您的账户相连。完成申请后,请确保您打印了确认页,上面有您的PIN码和独有的密码供您到时候激活新设备用。

图1

 

Alpine用户:

如果您要归还的是Alpine安全登录设备(图2),请在安全登录设备归还表格问题“您是否需要替换设备?”下回答“是”,盈透将为您安排替换设备。您不需要在网站上进行额外操作。

图2 

 

电子安全卡(DSC)用户:

如果您要归还电子安全卡,并需要替换设备,您需要登录账户管理申请新卡。因为该卡使用PIN功能,此步骤必须进行。请记住您的PIN码,激活过程中需要用到。

 

安全密码卡用户:

此类卡片不需要归还给盈透,可以直接销毁弃用。

 

美国和加拿大客户邮寄地址: 欧洲客户邮寄地址: 亚洲客户邮寄地址: 澳大利亚客户邮寄地址:
Interactive Brokers, LLC.
Attn: Token Return Department
2 Pickwick Plaza
Greenwich, CT 06830
(203) 618-4006

Interactive Brokers (U.K.) LTD.
Attn: Token Return Department
Gotthardstrasse 3
CH-6301 Zug
Switzerland
+41-41-726-9500

盈透证券有限公司(Interactive Brokers, LLC.)
Attn: 安全设备归还(Token Return Department)

香港金钟道88号太古广场第二期1512室(Suite 1512, Two Pacific Place 88 Queensway Admiralty, Hong Kong)

广东话:
+852-2156-7907
普通话:
+86 (21) 6086 8586

Interactive Brokers, LLC.
Attn: Token Return Department
Grosvenor Place, Level 42
225 George Street
Sydney, 2000
+61 (2) 8093-7300

关闭账户

在您归还设备并关闭了账户后,仍可以进入账户管理查看并/或打印活动报表和税表。关闭后,您不需要安全设备,只需要输入用户名和密码便能登录。

 

如有疑问或需要进一步说明,请致电1-203-618-4006联系我们的资深安全专家,或发送电邮到tac@interactivebrokers.com

 
丢失、失窃、损坏或账户关闭后不归还的的安全设备替换费用信息请见KB1861

 

 

How to request a Digital Security Card+ (DSC+) replacement

The following steps are required in order to replace a Digital Security Card+ which has been lost, stolen or became inoperable

1. Notify IB Client Services - Contact IB Client Services to obtain a temporary account access (Temporary Code). This service can only be provided via telephone and requires the identity of the account holder to be verified, as detailed in KB70

2. Obtain an Online Security Code Card - Activate an Online Security Code Card, which offers enhanced protection and full Account Management functionality for an extended period of 21 days. Please consult KB1873 should you need guidance for this specific step

3. Request the DSC+ replacement - Once you have completed the Online Security Code Card activation, please remain in the Secure Login System section of your Account Management and order your replacement DSC+ as follows

4. Click on the button Request Physical Device

5. The shipping address will be shown in the device information screen. If your address is outdated or invalid, you can amend it by clicking on Change Address and following the on-screen instructions. If you do not need to update your address, please proceed to step 6.

6. Enter a four-digit numeric  Soft PIN1 for your DSC+. Please make sure to remember the PIN you are typing since it will be necessary to activate and to operate your device. When applicable and desired, you may change the account on which the 20 USD deposit will be kept on hold2.  Click then on Continue

7. The system will show you a summary of your order. Please make sure of the correctness of all the information displayed. Should you need to perform changes, click on the button Back, otherwise submit the request by clicking on Continue

8. You will receive a final confirmation containing the estimated shipment date3. Click on Ok to finalize the procedure

 


Notes

1. For PIN guidelines, please consult KB2269

2. The Security token and the shipment are both free of charge. Nevertheless, when you order your device, we will freeze a small amount of your funds (20 USD).  If your device is lost, intentionally damaged, stolen or if you close your account without returning it to IB, we will use that amount as a compensation for the loss of the hardware. In any other case, the hold will be released once youre device has been returned to IB. More details on KB1861

3. For security reasons, the replacement device is set to auto-activate within three weeks from the shipment date. IB will notify you when the auto-activation is approaching and when it is imminent.

 

References
  • See KB1131 for an overview of the Secure Login System
  • See KB2636 for information and procedures related to Security Devices
  • See KB2481 for instructions about sharing the Security Login Device between two or more users
  • See KB2545 for instructions on how to opt back in to the Secure Login System
  • See KB975 for instructions on how to return your security device to IB
  • See KB2260 for instructions on activating the IB Key authentication via IBKR Mobile
  • See KB2895 for information about Multiple 2Factor System (M2FS)
  • See KB1861 for information about charges or expenses associated with the security devices
  • See KB69 for information about Temporary passcode validity

 

Security Device Replacement Charge

Account holders logging into their account via IB'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 on-line hackers and other unauthorized individuals from accessing their account. While IB 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 IB 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.

SECURITY DEVICE REPLACEMENT FEE
Security Code Card $0.001
Digital Security Card    $0.002
Digital Security Card + $20.00 
Gold Device $0.002
Platinum Device $0.002

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 Account Management after closure for purposes of viewing and retrieving activity statements and tax documents is maintained using solely the existing user name and password combination.

2 IB is no longer issuing a replacement for this Security Device. Account holders using this device are encouraged to log into Account Management and request a replacement device. Please see here for directions.

Securities Account Protection for Interactive Brokers India Customers

Customer accounts domiciled under Interactive Brokers India Pvt. Limited,(IBI) are awarded different account protection services than our IB-LLC and IB-UK clients. There are two major exchanges, the National Stock Exchange of India (NSE) and the Bombay Stock Exchange (BSE), each one has established their own guidelines for investor grievances against exchange members and/or sub –brokers.

National Stock Exchange of India (NSE)

The NSE has established an Investor Protection Fund with the objective of compensating investors in the event of defaulters' assets not being sufficient to meet the admitted claims of investors, promoting investor education, awareness and research. The Investor Protection Fund is administered by way of registered Trust created for the purpose. The Investor Protection Fund Trust is managed by Trustees comprising of Public representative, investor association representative, Board Members and Senior officials of the Exchange.

The Investor Protection Fund Trust, based on the recommendations of the Defaulters' Committee, compensates the investors to the extent of funds found insufficient in Defaulters' account to meet the admitted value of claim, subject to a maximum limit of Rs. 11 lakhs (1.1 million USD) per investor per defaulter/expelled member.

Bombay Stock Exchange (BSE)

Currently trading is not offered on the BSE by Interactive Brokers.

Security considerations following SLS opt out

Overview: 

Account holders who have elected to opt out of IBKR's Secure Login System (SLS) effectively relinquish the protections afforded by Two-Factor Authentication. They are strongly encouraged to utilize alternative security measures, with one of those being the IP Restrictions. By selecting this setting through Client Portal, you're telling Interactive Brokers that you only want access to your trading platforms from a specified IP address. In addition, should you have multiple authorized traders for a given account, these restrictions can be set at the individual trader level by the master user of the account. 

 

Preliminary checklist:

Before setting up the IP Restrictions, you will need to:

  • Know your WAN IP Address. That is the IP address exposed on the external (Internet) side of your network and it is different from your local IP address (called as well LAN IP address). If you trade from a company office, you can ask your IT or Networking department for the WAN IP address of your computer. If you connect to the Internet through a private broadband/cable/satellite connection you can get this information from your ISP (Internet Service Provider).
  • Make sure that your IP address is static. This means your IP address will always remain the same, and will not change upon router/modem reboot or after a certain time period. The same entities which provided you with the WAN IP address, can as well clarify whether it is a static or dynamic one.
  • Be aware that IP Restrictions are not effective immediately. Our systems apply the filters during their daily overnight restart. It can take up to 24 hours until they are active, depending on the time you submit your IP Restrictions request. The same applies when you modify or remove existing IP Restrictions. Please be sure to consider this when you are planning your course of action.
  • The IP Restrictions will be applied to ALL Trading Platforms offered by IB. It will not affect Client Portal access, which will remain accessible from any IP address.

Note:

Please take note that the technical ability to misrepresent one's IP address exists, and full account protection is only ensured by using SLS Two-Factor Authentication (ibkr.com/sls).

If you have any questions on the topic, please feel free to contact IB's Technical Assistance Center.

How to set the IP Restrictions:

  1. Login to Client Portal and click the menu icon in the top-left corner.
  2. From the left side menu, click on Settings, then on User Settings. Then click on the wheel (configure) icon next to IP Restrictions.
  3. You will see a brief description of the effects of IP Restrictions. To set up a new IP Restriction, click on Add IP Restriction.
  4. Select the Trader from the drop-down list and enter the IP Address (in the format xxx.xxx.xxx.xxx) you want to allow for him. Then click on Continue.
  5. If you logged into Client Portal without using the Two-Factor Authentication, you will now receive an email1 containing a Confirmation Number. Enter it in the Confirmation Number field. Once done, click on Continue to submit the request. If you logged in to the Account Management using a security device, please proceed directly to point 5.
  6. If the operation completed successfully, you will see a confirmation screen. Click OK.
  7. The system will now list your active IP Address restrictions. Should you want to create an additional one, click again on Add IP Restriction, otherwise navigate away from this section

 

Opt-out and IP Restrictions for Penny Stocks traders:

Clients who have elected to perform an opt-out, thus using the Two-Factor Authentication only for the Client Portal, must activate the IP Restrictions in order to be able to activate Penny Stocks Trading Permissions.


Additional best practices for securing your computer and your network

  • When logging into the TWS, activate the checkbox “Use SSL” on the login screen. SSL (Secure Socket Layer) guarantees that all the information exchanged between your computer and our servers is protected using 128-bit encryption.
  • Use a firewall to prevent unauthorized access to the services exposed by your network or/and computer. During the firewall set-up, please make sure you authorize the host/ports listed in section DESKTOP TWS of KB2816.
  • Use antivirus software to identify and eliminate viruses which might have infected your computer.  As new viruses are constantly being created, you need to update the threats database of your antivirus software regularly.
  • Use anti-malware software to detect and remove spyware/malware programs which can collect various types of personal information, monitor your browsing activity and interfere with the control of your computer. Nowadays many antivirus solutions include a built-in anti-malware protection.
  • Refrain from using wireless connections (Wi-fi) which are public, unsecured or not operated by you. If the use of a unsecured network (e.g. public Wi-Fi hotspot) becomes necessary, do not log into any financial institution account you may have, including your IB account.

 

Notes:
1. If you have not received the email, please make sure it did not land in the Spam/Junk folder of your mailbox and possibly add the email addresses donotreply@interactivebrokers.com and help@interactivebrokers.com to the trusted senders list. You can then request a new email to be sent to you with the button Resend Confirmation Number.

 

Tips for selecting your security questions and answers

The security questions represent just one component of the security framework which IB has put into place to protect your account. We offer the following simple tips for selecting your security questions and answers in order to make the most effective use of this security measure:

1. Choose questions having answers that you can remember in the future and answer consistently.

2. Use one-word answers whenever possible.

3. Be careful with spaces. If you use "San Diego" as an answer to one of your security questions, the system will reject "SanDiego."

4. Avoid using quirky or nonsensical answers as they'll likely to be difficult to remember later.

5. Select a question which cannot be easily guessed or researched, has many possible answers and where the probability of guessing the correct answer is low.

6. Select a question for which the answer is unlikely to be known by others such as a family member, close friend, relative, ex-spouse, or significant other.

7. Choose a question having an answer which is stable and not likely to change over time.

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