StormHarbour Securities LLP (London)
StormHarbour Securities LLP is authorised and regulated by the Financial Conduct Authority.
Our Firm Reference Number on the Financial Services Register is 503459.
To access the FCA Register of Authorised Firms and Approved Persons, please click: "Register".
To view Pillar 3 Disclosure, please click: "Pillar 3".
To view our Order Execution Policy, please click: “Order Execution Policy”
To view the Remuneration Code Disclosures, please click: “Remuneration Code Disclosure”
StormHarbour Securities LP (New York)
The following information is provided by StormHarbour Securities LP (“StormHarbour”, the "Firm") as required by US regulations and the rules of Financial Industry Regulatory Authority (“FINRA”) and Municipal Securities Rulemaking Board.
Anti-Money Laundering Compliance and Customer Identification Programs
Business Continuity Plan
This notice is provided for information purposes only. If you have any questions about disclosures made in this notice, please contact StormHarbour’s Compliance Department at the address above. The Firm’s main telephone number is 212-905-2500.
Business Continuity Planning Disclosure
StormHarbour Securities LP (“StormHarbour”) has developed a Business Continuity Plan (“BCP”) outlining how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our BCP.
Notice to Canadian Institutional Investors
Re: Reliance on the International Dealer Exemption and Notification to Permitted Clients pursuant to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”)
StormHarbour Securities (Hong Kong) Ltd.
StormHarbour Securities Hong Kong Limited (“StormHarbour”) has made the necessary lodgements with the Australian Securities and Investments Commission for an exemption under Class Order 03/1103, as amended, from the requirement to hold an Australian financial services licence under the Corporations Act 2001 of Australia (“the Act”) in respect of the financial services provided to Australian wholesale clients.
In order to fulfill the notice requirements of Class Order 03/1103, as amended, StormHarbour is required to make the following disclosures to all wholesale clients in Australia to whom it will provide financial services in the future: