Item 9.01
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Financial Statements and Exhibits
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(d)
Exhibit 99.1 Slide Presentation for Sandler ONeill Global Exchange and Brokerage Conference held on June 8, 2016.
Certain statements contained herein and the documents incorporated by reference containing the words believes,
intends, expects, anticipates, and words of similar meaning, may constitute forward-looking statements as defined in the Private Securities Litigation Reform Act of 1995. These forward-looking
statements are not historical facts and are based on current expectations, estimates and projections about KCGs industry, managements beliefs and certain assumptions made by management, many of which, by their nature, are
inherently uncertain and beyond our control. Any forward-looking statement contained herein speaks only as of the date on which it is made. Accordingly, readers are cautioned that any such forward-looking statements are not guarantees of future
performance and are subject to certain risks, uncertainties and assumptions that are difficult to predict including, without limitation, risks associated with: (i) the inability to manage trading strategy performance and sustain revenue and
earnings growth; (ii) the sale of KCG Hotspot, including the receipt of additional payments that are subject to certain contingencies; (iii) changes in market structure, legislative, regulatory or financial reporting rules, including the
increased focus by Congress, federal and state regulators, the SROs and the media on market structure issues, and in particular, the scrutiny of high frequency trading, alternative trading systems, market fragmentation, colocation, access to market
data feeds, and remuneration arrangements such as payment for order flow and exchange fee structures; (iv) past or future changes to KCGs organizational structure and management; (v) KCGs ability to develop competitive new
products and services in a timely manner and the acceptance of such products and services by KCGs customers and potential customers; (vi) KCGs ability to keep up with technological changes; (vii) KCGs ability to
effectively identify and manage market risk, operational and technology risk, cybersecurity risk, legal risk, liquidity risk, reputational risk, counterparty and credit risk, international risk, regulatory risk, and compliance risk; (viii) the
cost and other effects of material contingencies, including litigation contingencies, and any adverse judicial, administrative or arbitral rulings or proceedings; (ix) the effects of increased competition and KCGs ability to maintain and
expand market share; (x) the announced plan to relocate KCGs global headquarters from Jersey City, NJ to New York, NY; and (xi) KCGs ability to complete the sale or disposition of any or all of the assets or businesses that are
classified as held for sale. The list above is not exhaustive. Because forward looking statements involve risks and uncertainties, the actual results and performance of KCG may materially differ from the results expressed or implied by such
statements. Given these uncertainties, readers are cautioned not to place undue reliance on such forward-looking statements. Unless otherwise required by law, KCG also disclaims any obligation to update its view of any such risks or uncertainties or
to announce publicly the result of any revisions to the forward-looking statements made herein. Readers should carefully review the risks and uncertainties disclosed in KCGs reports with the U.S. Securities and Exchange Commission
(SEC), including those detailed in Risk Factors in Part I, Item 1A of KCGs Annual Report on Form10-K for the year ended December 31, 2015, Legal Proceedings in Part I, Item 3, under
Certain Factors Affecting Results of Operations in Managements Discussion and Analysis of Financial Condition and Results of Operations in Part II, Item 7, in Quantitative and Qualitative Disclosures About
Market Risk in Part II, Item 7A, and in other reports or documents KCG files with, or furnishes to, the SEC from time to time. This information should be read in conjunction with KCGs Consolidated Financial Statements and the Notes
thereto contained in its Annual Report on Form 10-K, Quarterly Report on Form 10-Q for the quarter-ended March 31, 2016, and in other reports or documents KCG files with, or furnishes to, the SEC from time to time.