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General downloads
On this page you will find relevant documents such as the 3D Global MTF Rule Book and the 3D Global Custodian Foundation Regulations. All documents are available for download as pdfs. Do you have any questions? Contact us and we will be happy to help you.
3D Global MTF - Rulebook
When operating an MTF market, the 3D Global MTF requires a Rule Book governing the listed tradable rights. Download the document for more information
3D Global Custodian Foundation Regulations
The 3D Global depository ensures that investor funds and securities are held separately from the 3D Global entity. Read the regulations for more information
Spin-off 3D Global Press Release
Read the press release on the spin-off and creation of 3D Global in 2017
3D Global Remuneration Policy
Read how 3D Global has set up its remuneration policy
Employee Participation in portfolio companies
Private Equity and employee participation is a growing phenomenon. Read more about a study 3D Global performed in the past
Employee Participation report
Research on employee participation is essential to properly demonstrate its usefulness. 3D Global is one of the researchers of this subject
RTS
RTS 27 (Commission Delegated Regulation (EU) 2017/575)
Quarterly information on execution of client orders
Recital 1 of RTS 27 states the following:
“With a view to providing both the public and investment firms with relevant data on execution quality to help them determine the best way to execute client orders, it is important to set out the specific content, format and the periodicity of data relating to the quality of execution of financial instruments subject to the trading obligation in Articles 23 and 28 of Regulation (EU) No 600/2014 of the European Parliament and of the Council (2),to be published by trading venues and systematic internalisers. It is also important to set out the specific content, format and the periodicity of data relating to the quality of execution of other financial instruments which are not subject to the trading obligation and which execution venues are required to publish. In this respect, due regard should be given to the type of execution venue and the type of financial instrument concerned.”
Captin B.V. (MTF) operates a trading venue and in that capacity it is required to provide relevant data on execution quality on a quarterly basis to help the public and investment firms to determine the best way to execute client orders However, in this context, it is important and relevant to note that any financial instruments or other tradable rights listed on the MTF of Captin B.V. are not tradable on any other trading venue. As a result, there is no question of “determining” where your order is executed where it concerns securities listed on the Captin B.V. (MTF), as Captin B.V. (MTF) is the only venue where these securities can be traded.
Nevertheless, as part of its commitment to transparency and in line with RTS 27, Captin B.V. provides the information below.
RTS 28 (Commission Delegated Regulation (EU) 2017/576)
Annual information on execution of client orders
Investment firms must annually publish the top five execution venues for each class of financial instrument where they execute and/or transmit client orders.
3D Global B.V. uses three execution venues as shown in the tables below, being Van Lanschot Kempen N.V., 3D Global B.V. (MTF) and ABN AMRO Bank N.V., as brokers for the execution of orders in the financial instruments as listed below per broker.
In 3D Global opinion, the selection of these three execution venues leads to the best result for its clients, taking into consideration the following criteria:
- Delivered execution price
- Quality and speed of settlement
- Quality of services
- Costs