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1: 10-K/A Amendment to Annual Report HTML 1.19M
2: EX-31.1 Certification per Sarbanes-Oxley Act (Section 302) HTML 12K
3: EX-31.2 Certification per Sarbanes-Oxley Act (Section 302) HTML 11K
4: EX-32.1 Certification per Sarbanes-Oxley Act (Section 906) HTML 9K
5: EX-32.2 Certification per Sarbanes-Oxley Act (Section 906) HTML 9K
I
have reviewed this annual report on Form 10-K of Refco Group Ltd., LLC and Refco Finance Inc.;
2.
Based
on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the
circumstances under which such statements were made, not misleading with respect to the period covered by this report;
3.
Based
on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of
operations and cash flows of the registrant as of, and for, the periods presented in this report;
4.
The
registrants' other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act
Rules 13a-15(e) and 15d-15(e)) for the registrants and have:
a)
Designed
such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating
to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
b)
Evaluated
the effectiveness of the registrants' disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and
procedures as of the end of the period covered by this report based on such evaluation; and
c)
Disclosed
in this report any change in the registrants' internal control over financial reporting that occurred during the registrants' most recent fiscal quarter (the registrants'
fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrants' internal control over financial reporting; and
5.
The
registrants' other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrants' auditors and the
audit committee of the registrants' board of directors (or persons performing the equivalent functions):
(a)
All
significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the
registrants' ability to record, process, summarize and report financial information; and
(b)
Any
fraud, whether or not material, that involves management or other employees who have a significant role in the registrants' internal control over financial reporting.
