LEGAL & REGULATORY DISCLOSURES

Corporate and Regulatory Information

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.

Terms of Business

Anti Money Laundering

Olivetree Financial Limited has adopted policies designed to prevent, detect and report potential Money Laundering:

  • Anti Money Laundering Policy;
  • Customer Verification

    (Know Your Customer) Procedures;

  • Mandatory AML and KYC Training for all employees.

MiFID II

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:

Best Execution Policy;

List of Execution Venues (Professional Clients Only);

RTS-28 Disclosure;

Conflicts of Interest Policy;

Risk Summary – Equities.

Complaints Procedures

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 Compliance Officer
Olivetree Financial Limited
107 Cheapside
London
EC2V 6DN
Tel: +44 (0) 203 201 1000
Fax: +44 (0) 203 201 1001
The Compliance Officer
Olivetree Financial, LLC
450 Lexington Avenue
Suite 800
New York NY, 10170
Tel: +1 646 930 6600

Pillar III Disclosure

Download our Pillar III Disclosure

Olivetree Financial, LLC is a FINRA registered broker dealer, with its offices located in New York .

BCP Summary Disclosure Statement | Member FINRA/SIPC www.finra.org | www.sipc.org

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.

Public Rule 606 Disclosures

Privacy Policy

Following changes to data protection law, we have updated our privacy notice.

We are not changing the way in which we use your information. But our new privacy policy provides you with more details about what we do.

Privacy Policy