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Introduction.............................................................................................................................................. 4  \n2. Rule 1.55 (k)(1) - FCM Name and Address....................................................................................4  \n3. Rule 1.55(k)(2) -Biographies ............................................................................................................4  \n4. Rule 1.55(k)(3) -Business Activities; Percent of Assets/Capital Per Activity ............... 7  \n5. Rule 1.55(k)(4) -FCM’s Customer Business ............................................................................... 7  \n6. Rule 1.55(k)(5) Material Risks .......................................................................................................... 9  \n7. Rule 1.55(k)(6)-Self-Regulatory Authority Information and FCM Financial Statement ......................................................................................................................................................... 10  \n8. Rule 1.55 (k)(7) -Material Complaints and Actions ............................................................... 10  \n9. Rule 1.55(k)(8) -Overview of Fund Segregation, Collateral Management................... 10  \n10. Rule 1.55(k)(9) -How to File a Complaint Against the FCM ............................................... 11  \n11. Rule 1.55(k)(10) -Relevant Financial Information .................................................................. 12  \n12. Rule 1.55(k)(11) Summary of FCM’s Risk Practices, Controls and Procedures....... 13  \nCFTC RULE 1.55 DISCLOSURE DOCUMENT  \n1.  INTRODUCTION  \nThe U.S. Commodity Futures Trading Commission (\" CFTC\") requires each futures commission merchant (\"FCM\"), including BOCI Commodities & Futures (USA) LLC (\"BOCI\"or the “Firm”), to provide the following information to a customer prior to the time the customer first enters into an account agreement with the FCM or deposits funds or securities with the FCM. Except as otherwise noted below, the information herein is current as of April 1 , 2017. BOCI will update this information at least annually and as necessary to take into account any material change(s) to its business operations, financial condition or other factors that BOCI believes may be material to a customer's decision to do business with BOCI. Notwithstanding the foregoing, BOCI’s business activities and financial data are not static andwill change in non-material ways frequently throughout any twelve (12) month period. For the most up to date information on BOCI, please visit our webpage at [http://www.bocigroup.com/pub/en/institutional/hqsp/201407/t20140710_1161.htm](http://www.bocigroup.com/pub/en/institutional/hqsp/201407/t20140710_1161.htm).  \n2.  RULE 1.55 ( K )(1) - FCM NAME AND ADDRESS  \nName: BOCI Commodities & Futures (USA) LLC 1  \nAddress: 1045 Avenue of the Americas, Suite 1501  \nNew York, NY 10018  \nPhone Number: (212) 554-8800  \nFax Number: (212) 554-8801  \nEmail:  cfus.compliance@bocigroup.com  \n3.  RULE 1.55( K )(2) - BIOGRAPHIES  \nTong Li, Manager 2 Bank of China Tower  \n1 Garden Road, 26/F.  \nHong Kong  \nTong Li serves as a board member of the Firm. In her capacity as a board member, Ms. Li steers the Firm towards a building a sound future by supporting the adoption of fiscally responsible, ethical, and legal governance and financial management policies, as well as making sure the Firm has sufficient resources to advance its mission.  \n1 CFTC Rule 1.55(k)(1) mandates that each FCM disclose its name, address of its principal place of business, phone number, fax number, and email address.  \n2 CFTC Rule 1.55(k)(2) mandates that each FCM disclose the name, title, business address, business background, areas of responsibility, and ","cbCaimWzlcTEY9Pc","https://ap.wps.com/l/cbCaimWzlcTEY9Pc","pdf",261971,16,"English","# TABLE OF CONTENTS\n## CFTC RULE 1.55 DISCLOSURE DOCUMENT\n## 1. Introduction\n## 2. Rule 1.55 (k)(1) - FCM Name and Address\n## 3. Rule 1.55(k)(2) -Biographies\n## 4. Rule 1.55(k)(3) -Business Activities; Percent of Assets/Capital Per Activity\n## 5. Rule 1.55(k)(4) -FCM’s Customer Business\n## 6. Rule 1.55(k)(5) Material Risks\n## 7. Rule 1.55(k)(6)-Self-Regulatory Authority Information and FCM Financial Statement\n## 8. Rule 1.55(k)(7) -Material Complaints and Actions\n## 9. Rule 1.55(k)(8) -Overview of Fund Segregation, Collateral Management\n## 10. Rule 1.55(k)(9) -How to File a Complaint Against the FCM\n## 11. Rule 1.55(k)(10) -Relevant Financial Information\n## 12. Rule 1.55(k)(11) Summary of FCM’s Risk Practices, Controls and Procedures","[{\"question\":\"What information does an FCM need to provide under CFTC Rule 1.55 (k)?\",\"answer\":\"An FCM must provide required customer-facing information before the customer enters an account agreement or deposits funds or securities. The document organizes these disclosures by rule section, including identification, biographies, business activities, risks, complaints, and related processes.\"},{\"question\":\"How is the disclosed information kept up to date?\",\"answer\":\"The document states that information is current as of April 1, 2017 and will be updated at least annually and as necessary for material changes to business operations, financial condition, or other relevant factors.\"},{\"question\":\"What does the document cover regarding governance and financial oversight?\",\"answer\":\"It includes FCM name and address details and biographies of key individuals, including board member and CFO roles, along with descriptions of responsibilities for financial information accuracy and treasury oversight.\"}]","CFTC Rule 1.55 (k) Disclosure Document - Information Disclosure Requirements | PDF"]