Legal & Regulatory

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.




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.

Olivetree Financial, LLC (“The Firm”), maintains Anti- Money Laundering (“AML”)  Written Supervisory Procedures (“WSP”) and a  supervisory system that are reasonably designed to comply with the rules and regulations of the USA Patriot Act, the Financial Industry Regulatory Authority (“FINRA”), the Securities and Exchange Commission (“SEC”), Financial Crimes Enforcement Network (“FinCEN”), and the Office of Foreign Assets Control (“OFAC”). The Firms AML Compliance Program is tested annually by a third party Certified Anti-Money Laundering Specialist (“CAMS”) and is found to generally comply with the applicable industry rules and federal regulations. The Firm’s AML risk profile is low.


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:

 

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Complaints Procedures


Olivetree Financial Limited is authorised and regulated by the Financial Conduct Authority (“FCA”) in the UK. In recognition of Dispute Resolution (DISP) 1.1A regarding MiFID applicable complaints, Olivetree have adopted an effective and transparent procedure for the fair and prompt handling of all complaints. Olivetree will apply best practice paying due regard to the interests of its clients, treating all clients fairly. We trust you will be satisfied with the outcome of our investigation and politely remind you that Olivetree does not have permission to undertake business for or on behalf of retail clients, and if you are classified by the FCA as a ‘Professional Client’ your complaint is not eligible for referral to the Financial Ombudsman Service (FOS).If you have any questions about our complaints process, please contact us at:

The Compliance Officer
Olivetree Financial Limited
9th Floor
10 Lower Thames Street
London
EC3R 6EN
Tel: +44 (0) 203 201 1000
Fax: +44 (0) 203 201 1001

The Compliance Officer
Olivetree Financial, LLC
420 Lexington Avenue
Suite 800
New York NY, 10170
Tel: +1 646 930 6600




Pillar III Disclosure



Olivetree Financial, LLC is an institutional broker dealer and member of FINRA and SIPC
. It is a Delaware Limited Liability Company formed in 2009. The firm accepts orders from U.S. institutional customers and broker dealers in foreign and domestic equity securities which it routes via Direct Market Access providers (all of whom are major global securities broker dealers) and introduces the resulting DVP/RVP transactions to a U.S domestic clearing entity or an international clearing entity for clearing and settlement.  The firm also distributes third party affiliate research, produced by Olivetree Financial, Limited, our UK partner affiliate. The Firm may also act as a member of a selling group in selected underwritings or conduct private placement business. OTUS maintains a client relationship and introduces accounts to the books of its U.S. domestic clearing broker. Transactions are introduced to the U.S. domestic clearing broker who clears and settles trades between the custodian banks of the buyers and sellers.

OTUS performs 15a6 clearing functions on behalf of its UK affiliate and does not hold customer funds or securities. The Firm does not underwrite placements, make markets or hold proprietary positions in securities. OTUS serves principally U.S. institutional clients; certain foreign institutions may also be clients of the Firm.  OTUS does not conduct business with retail clients.



SEC Rule 606(B) – Olivetree Financial 606(B) data is supplied by Best X Stats (“BXS”) upon request.