Olivetree Financial Limited is a private limited company registered in England and Wales. Its company registration number is 06769349. Olivetree Financial Limited is authorised and regulated by the UK’s Financial Conduct Authority. Its FCA registration number is 494671.
Olivetree Group Limited is private limited company incorporated in England and Wales. Its company registration number is 09348337.
Olivetree Financial, LLC is a limited liability company incorporated in the State of Delaware, USA. It is registered with the SEC (SEC#8-68603) and is a member of FINRA (CRD#154026) and SIPC.
Olivetree Securities Limited has adopted policies designed to prevent, detect and report potential Money Laundering:
(Know Your Customer) Procedures;
Olivetree Financial Limited operates in accordance with the requirements of the Markets in Financial Instruments Directive. The documents provided here set out, in relation to a number of key areas, the nature of our services and relationship with our clients in the context of the Directive:
Olivetree Financial Limited is authorised and regulated by the Financial Conduct Authority (“FCA”) in the UK. The FCA requires firms to treat a complaint received in accordance with its rules only in relation to retail clients who are eligible complainants. We do not have permission to undertake business for or on behalf of retail clients and accordingly we are not required to comply with the FCA’s complaints rules. We have, however, chosen to observe the FCA’s rules as best practice. Please note, however, that a complainant will not be able to refer a complaint to the Financial Ombudsman Service in the event that he is not satisfied with the way we have handled his complaint.
If you have a complaint with regard to the service provided by Olivetree, you should contact:
The Firm provides execution services, predominately in relation to foreign securities, by accepting client orders from its US institutional investor client base and routing them to its affiliate, Olivetree Securities Limited, for execution in local markets. Transactions with US clients are introduced to our US clearer, ICBC, Industrial and Commercial Bank of China Financial Services, LLC. The Firm also distributes related third party affiliate research into the US on behalf of its UK affiliate, Olivetree Securities Limited. The Firm participates in public and private placements as a selling group member. Olivetree Financial, LLC is a part of the Olivetree Securities group of companies and is a wholly owned subsidiary of its parent company, Olivetree Securities Limited.
Olivetree recognises the need to treat any personal information (including personal data and sensitive personal data, each as defined in the Data Protection Act 1998) it processes during the course of its business activities in an appropriate and lawful manner. We will not collect any personally identifiable information about individuals, except where it is specifically and knowingly provided by them.
Notwithstanding anything to the contrary, you specifically authorise that we may use, store or otherwise process any such information (whether electronically or otherwise) and may disclose any such information (including, without limitation, information relating to your transactions and accounts) either as we or any of our affiliated companies shall be obliged or requested to under or pursuant to any applicable rules or by any regulatory authority or as may be required to administer our agreement with you, provided services to you, including without limitation, monitoring and analysing the conduct of your account and enabling us to carry out statistical or other analysis, and otherwise market services and products to you.
The above activities may include transferring information to countries where the statutory protection in connection with data and/or privacy is less robust than that in the United Kingdom, or indeed non-existent. Notwithstanding this, we undertake to treat your personal data with care and confidentiality and to observe the same high standards in every country in which it is held. If you do not want information to be used in this way, please inform us in writing.