As regulated business, employees are required to disclose certain information about their personal investment activity. Below is a summary of information that you will need to disclose when you join

• Covered Accounts and Private Investments for you and your Family Members require disclosure. Note: Accounts closed prior to hire date do not require disclosure.
  • Family Members include spouse/domestic partner, dependent children, and any other relative that lives in your household.
  • Covered Accounts include accounts that you or your Family Members control or in which you have a direct or indirect beneficial ownership, including:
    • Trading Accounts – Accounts that can or do hold equity or debt securities, futures, REITs, FX or derivatives.
    • Self-Directed Retirement Accounts – Retirement accounts where you or a Family Member direct trading activity (e.g., IRAs, SIPPs, ISAs). This does not include 401K accounts or accounts that can only hold mutual funds.
    • Professionally Managed Accounts – Managed accounts where you/your Family Members do not direct trading.
    • Employee Stock Accounts – Stock plans provided by former employers or employers of Family Members.
    • Physical Share Certificates: Stock certificates held individually or through a custodian.
  • Private Investments – Investments acquired in a private securities transaction (e.g., hedge fund, private equity fund, venture capital fund).
• For each Covered Account, you will need to disclose the Account Name, Account Number, Brokerage Firm/Financial Institution where the account is held and Account Type.
• You will also need to provide copies of the following documentation:
  • Most recent account statement or holdings report for each Covered Account.
  • Advisory agreement or comparable documentation for Professionally Managed Accounts.
  • Offering memorandum, subscription agreement or statement for each Private Investment.
  • Trading Accounts and Self-Directed Retirement Accounts must be held at an approved Designated Broker. Non-compliant accounts must be closed and/or promptly transferred to a Designated Broker.

Outside Business Activities

Once hired, employees are expected to devote their business time and attention to the performance of their duties for Citadel.

As a new hire, you will be required to report existing outside business activities and receive approval from your manager and Legal and Compliance to continue such activities.