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Legal information

16/05/2016

 

You have just accessed the website at www.rothschild.com published and hosted by Rothschild & Co.

Company name: Rothschild & Co SCA

French partnership limited by shares (société en commandite par actions) with a share capital of 142,274,072 euros

Trade and companies registry: Paris No. 302 519 228

Intra-Community VAT number: FR88 302 519 228

Registered office: 23 bis avenue de Messine, 75008 Paris, France.

Publication manager: Anne Imbach

Telephone No.: 020 7280 5000

Email address:  contact@rothschild.com

By accessing the www.rothschild.com website (the “Website”), you agree to be legally bound by the following terms and conditions.

No Offer

The information contained in the Website is not intended to constitute any offer to sell or the invitation or solicitation of an offer to buy any product or service or security by any company described or referred to in the Website or by any subsidiary, holding company, affiliate or associated company of such company (all such companies hereafter collectively referred to as the "Rothschild & Co group" and individually as "members" of the Rothschild & Co group) and must not be relied upon in connection with any investment decision or any decision to deposit funds with any member of the Rothschild & Co group. You should rely solely on your own investigation regarding any investment decision and should seek competent professional advice.

Use of the Website

As a condition to your use of the Website, you will not, directly or indirectly: (a) use the Website to infringe upon the intellectual property rights of others; (b) use the Website or make any attempt to penetrate, modify or manipulate the Website to invade the privacy of any other user thereof; (c) attempt to modify, erase or damage any information contained on the Website or any device connected thereto; (d) reverse engineer any portion of the Website; (e) restrict or inhibit others from using the Website; (f) engage in conduct or distribute material that is harmful, obscene, otherwise illegal or objectionable, or gives rise to civil or criminal liability; (g) spoof or otherwise impersonate any individual or entity; or (h) violate or attempt to violate the security or integrity of the Website. The Rothschild & Co group reserves the right to investigate and to involve and cooperate with law enforcement authorities, and to pursue a lawsuit or criminal prosecution, for any alleged or actual harmful or illegal activities involving the Website.

The Rothschild & Co group reserves the right, at any time, to modify or discontinue, temporarily or permanently, the Website, with or without notice.  The Rothschild & Co group reserves the right to modify these terms and conditions at any time. You should visit the Website periodically to review the current terms and conditions.

The Website is not intended for use by minors.

Access Subject to Local Restrictions

The Website and all information and functionality contained within it are not directed at or intended for use by any person resident or located in any jurisdiction where (a) the distribution of such information or functionality is contrary to the laws of such jurisdiction or (b) such distribution is prohibited without obtaining the necessary licenses or authorisations by the relevant member of the Rothschild & Co group and such licenses or authorisations have not been obtained.

No Warranty

No member of the Rothschild & Co group (whether individually or collectively) gives any representation or warranty as to the accuracy, reliability, or completeness of the information contained in the Website (the “Information”) nor as to the appropriateness of the Information for any use which any recipient may choose to make of it and accepts no responsibility for updating any part of the Information or for correcting any material error or omission which may become apparent after Information has been displayed on the Website. Except insofar as liability under any statute cannot be excluded, no member of the Rothschild & Co group nor any of its and their directors, employees and consultants accept any liability (whether arising in contract, or tort, or negligence or otherwise) for any error, omission or misrepresentation in relation to the Information or for any loss, damage, cost or expense (whether direct, indirect, consequential or otherwise) suffered by the recipient of this Information or any other person as a result of any use of or reliance upon any Information or statement of any kind (including statements of fact or opinion) contained herein.

All content on the Website is provided "as is", with no guarantees of completeness, accuracy or timeliness, and without representations, warranties or other contractual terms of any kind, express or implied. No member of the Rothschild & Co group represents or warrants that the Website, any services provided through the Website, and / or any information or other material contained within or downloaded from the Website, will be accurate, current, uninterrupted, error-free, omission-free or free of viruses or other harmful components.

Copyright and trade mark protection

The copyright and all other rights in all of the material on the Website are owned by the member or members of the Rothschild & Co group listed on the relevant web page or the material is included with the permission of the rights owner. No commercial use, resale or exploitation of material from the Website is permitted without the express written permission of the Rothschild & Co group and any other applicable copyright owners. You may copy material on this web site for your own private or domestic use only. All other copying is prohibited.

"Rothschild", "Rothschild & Co", “Five Arrows” and the "Five Arrows" device are trade marks of members of the Rothschild & Co group. Other company and brand names used in the Website are trade marks of members of the Rothschild & Co group or of third party owners. Members of the Rothschild & Co group do not give persons accessing the Website permission to use any trade mark used therein. Unauthorised use may constitute an infringement of the relevant owner's rights.

External websites

The Website may contain links to third party websites. No member of the Rothschild & Co group is responsible for the security or content of any third party web sites.

External links to the Website

All links to the Website must be approved in writing by the Rothschild & Co group, except the Rothschild & Co group consents to links in which: (i) the link is a text-only link containing only the name “Rothschild & Co”; (ii) the link points only to www.rothschild.com and not deeper pages; (iii) when activated by a user, the link displays that page full screen in a fully operable and navigable browser window and not within a frame on the linked website; and (iv) the appearance, position and other aspects of the link neither creates the false appearance that an entity or its activities are associated with or sponsored by the Rothschild & Co group nor damages or dilutes the goodwill associated with the Rothschild & Co group's name or trademarks.  The Rothschild & Co group reserves the right to revoke this consent to link at any time.

Privacy

You acknowledge that any Information provided to the Rothschild & Co group or any member of the Rothschild & Co group in connection with the use of the Website may be used by any member of the Rothschild & Co group for its own purposes, and may be released by any member of the Rothschild & Co group to third parties as reasonably required. This includes, but is not limited to, where any member of the Rothschild & Co group is required to release Information as a result of law or regulatory order, or in connection with its or their own analysis.

Cookies

The Website uses cookies. Cookies are small files that are stored on the hard drive of your computer which help us to improve our site and to deliver a better and more personalised service. Many websites use cookies and you can find more information about them (including how to disable them if you wish) at: http://www.allaboutcookies.org, a website run by an industry body.

Please note that if you disable cookies, you may be unable to access parts of the Website.

By continuing to use the Website without disabling cookies, you consent to the use of cookies as detailed below. We use cookies to estimate our audience size and usage pattern, to store information about your preferences, to allow us to customise our site and to recognise you when you return to our site.

Indemnity of the Rothschild & Co group

You agree to indemnify and hold the Rothschild & Co group harmless from any claim, demand, cause of action, debt, loss or liability, including reasonable attorneys' fees, to the extent that such action is based upon, arises out of, or relates to your breach of these terms and conditions or your use of the Website.  This indemnity shall survive any termination of these terms and conditions.

Severability Clause

To the extent that any provision of these terms and conditions is found by any competent court or authority to be invalid, unlawful or unenforceable in any jurisdiction, that provision shall be deemed not to be part of this disclaimer but such finding shall not affect the validity, lawfulness or enforceability of the remainder of these terms and conditions in that jurisdiction, nor shall it affect the validity, lawfulness or enforceability of these terms and conditions in any other jurisdiction.

Conflict with Additional Terms

Certain web pages or areas on the Website may contain additional terms, conditions, disclosures and disclaimers (together “Additional Terms”). In the event of a conflict between these terms and conditions and the Additional Terms, the Additional Terms will govern for those web pages or areas.

REGULATORY

GLOBAL ADVISORY  - PRINCIPAL REGULATED OPERATING ENTITIES

Australia

Rothschild Australia Limited, Level 41, 50 Bridge Street, Sydney, NSW, 2000, Australia.  Registered Number: 61 008 591 768.  Rothschild Australia Limited is authorised and regulated by the Australian Securities and Investment Commission for the provision of financial services. Rothschild Australia Limited holds an Australian Financial Services Licence (AFSL) (licence number 239059) to provide certain financial products and services.

Canada

Rothschild (Canada) Securities Inc./Valeurs Mobiliere Rothschild (Canada) Inc., Brookfield Place, TD Canada Trust Tower, 161 Bay Street, Suite 4230, Toronto, Ontario M5J 2S1, Canada. Ontario Corporation Number 866882. Rothschild (Canada) Securities Inc./Valeurs Mobiliere Rothschild (Canada) Inc. is authorised and regulated by the Ontario Securities Commission for the provision of financial advisory services.

Hong Kong

Rothschild (Hong Kong) Limited, 16th Floor Alexandra House, 18 Chater Road, Central, Hong Kong SAR. Company Number: 32203. Rothschild (Hong Kong) Limited is authorised and regulated by the Securities and Futures Commission of Hong Kong to provide financial advisory services.

India

Rothschild (India) Private Limited 103, 1st Floor, Piramal Towers, Peninsula Corporate Park, Ganpatrao Kadam Marg, Off. Senapati Bapat Marg, Lower Parel, Mumbai 400013, India. Registered Number: U65990MH1998PTC116788.   Rothschild (India) Private Limited is authorised and regulated by the Securities and Exchange Board of India for the provision of merchant banking services.

Malaysia

Rothschild Malaysia Sendirian Berhad, 28-12, Level 28, Q Sentral, Jalan Stesen Sentral, Kuala Lumpur Sentral, 50470 Kuala Lumpur, Malaysia. Registered Number: 15271D. Rothschild Malaysia Sendirian Berhad is authorised and regulated by the Securities Commission Malaysia to provide advising on corporate finance services.

Singapore

Rothschild (Singapore) Limited, One Raffles Quay, North Tower, One Raffles Quay #10-02, Singapore 048583. Registered Number: 197301242C. Rothschild (Singapore) Limited is regulated by the Monetary Authority of Singapore and licensed to conduct the regulated activities of advising on corporate finance and dealing in securities services. 

Personal Data Protection Statement

South Africa

Rothschild (South Africa) Proprietary Limited, 3rd Floor Oxford Corner, 32a Jellicoe Avenue, Rosebank, Johannesburg, South Africa.  Registered Number: 1999/021764/07.  Rothschild (South Africa) Proprietary Limited is authorised and regulated by the Registrar of Financial Services Providers under licence number 8435 for the provision of financial advisory services in relation to certain financial products, and is currently exempted from compliance with the Financial Advisory and Intermediary Services Act of 2002 (FAIS) until 1 March 2017 insofar as FAIS related services are rendered to certain types of clients as listed in Board Notice 108 of 2012.

UAE

Rothschild (Middle East) Limited, Office 203, Level 2, Burj Daman, DIFC, PO Box 506570, Dubai, UAE. Registered Number: CL0296. Rothschild (Middle East) Limited is authorised and regulated by the Dubai Financial Services Authority for the provision of Advising on Financial Products or Credit and Arranging Credit or Deals in Investments services.

UK

N M Rothschild & Sons Limited, New Court, St Swithin's Lane, London, EC4N 8AL, England.  Registered Number: 925279.  N M Rothschild & Sons Limited is authorised and regulated by the Financial Conduct Authority for the provision of advising and arranging services.

USA

Rothschild Inc, 1251 Avenue of the Americas, New York, NY 10020, USA. Registered Number: 13-2589894. Rothschild Inc is registered with the U.S. Securities and Exchange Commission, is a member of the Financial Industry Regulatory Authority and is a provider of investment banking services such as mergers and acquisitions, restructuring, bankruptcy, financial advice, equity advisory and private placements.

PRIVATE WEALTH  - PRINCIPAL REGULATED OPERATING ENTITIES

Channel Islands

Rothschild Bank International Limited, St Julian's Court, St Peter Port, Guernsey, GY1 3BP. Registered number: 1088.  Rothschild Bank International Limited is licensed and regulated by the Guernsey Financial Services Commission for the provision of banking and investment services.  A summary of Rothschild Bank International Limited's complaint handling procedure is available here

Rothschild Bank International Limited is a participant in the Guernsey Banking Deposit Compensation Scheme which offers full protection for “qualifying deposits” up to £50,000, subject to certain limitations. The maximum total amount of compensation is capped at £100,000,000 in any 5 year period. Full details are available on the Scheme's website www.dcs.gg or on request. 

Rothschild Trust Guernsey Limited, PO Box 472, St Julian's Court, St Julian's Avenue, St Peter Port, Guernsey, GY1 3AX  Registered Number: 2154.  Rothschild Trust Guernsey Limited is a licensed financial services business regulated by the Guernsey Financial Services Commission for the provision of trust and company services.

Germany

Rothschild Vermögensverwaltungs-GmbH, Börsenstraße 2-4, 60313 Frankfurt am Main, Germany.  Registered Number: HRB 55676. Rothschild Vermögensverwaltungs-GmbH is authorised and regulated by  Bundesanstalt für Finanzdienstleistungsaufsicht for the provision of portfolio management,  contract broking, investment broking, investment advice and asset management services.

Hong Kong

Rothschild Wealth Management (Hong Kong) Limited, 16th Floor Alexandra House, 18 Chater Road, Central, Hong Kong SAR.  Registered Number:1427576. Rothschild Wealth Management (Hong Kong) Limited is authorised and regulated by the Securities and Futures Commission of Hong Kong to provide wealth management services.

Italy

Rothschild Wealth Management (UK) Limited (Milano branch), Via Agnello 5, 20121 Milano, Italy.  Registered Number: 08426970961. Rothschild Wealth Management (UK) Limited (Milano branch) is authorised and regulated by Financial Conduct Authority for the provision of financial services and is registered with Commissione Nazionale per le Società e la Borsa (CONSOB).

Singapore

Rothschild Wealth Management (Singapore) Limited, One Raffles Quay,  North Tower, One Raffles Quay #10-02, Singapore 048583. Registered Number: 200415917M. Rothschild Wealth Management (Singapore) Limited is regulated by the Monetary Authority of Singapore and holder of a Capital Markets Services License for the provision of Fund Management services.  It is exempt from the requirement to hold an Australian financial services licence under the Corporations Act 2001 (Cth).

Rothschild Trust (Singapore) Limited, One Raffles Quay, North Tower, One Raffles Quay #10-02, Singapore 048583.  Registered Number: 200006176E. Rothschild Trust (Singapore) Limited is licensed and regulated by the Monetary Authority of Singapore for the provision of trust services.

Personal Data Protection Statement

Switzerland

Equitas Ltd, Asset Management and Trust Company, Rue du Commerce 3, 1204 Geneva, Switzerland. Registered Number: CHE-107.900.508. Equitas Ltd, Asset Management and Trust Company is supervised by the Swiss Financial Market Supervisory Authority FINMA and provides asset management and advisory services.

RTS Geneva SA, Rue du Commerce 3, 1204 Geneva, Switzerland. Registered Number: CHE-110.155.975. RTS Geneva SA is supervised by the Swiss Financial Market Supervisory Authority FINMA and authorised to provide trustee services.

Rothschild Bank AG, Zollikerstrasse 181, 8034 Zurich, Switzerland. Registered Number: CHE-107.848.173. Rothschild Bank AG is authorised and regulated by the Swiss Financial Market Supervisory Authority FINMA to provide banking and securities dealer services. 

The RBZ Funds Report of income for UK tax purposes is available here.
The R Wealth Management SICAV SIF Report of income for UK tax purposes is available here.
The Interest Rates RBZ Standard is available here.
The Interest Rates for RBI and their clients is available here

Rothschild Trust (Switzerland) Ltd, Zollikerstrasse 181, 8034 Zurich, Switzerland. Registered Number: CHE-103.200.027. Rothschild Trust (Switzerland) Ltd is supervised by the Swiss Financial Market Supervisory Authority FINMA in relation to compliance with anti-money laundering (AML) legislation.

UK

Rothschild Wealth Management (UK) Limited, New Court, St. Swithin's Lane, London EC4N 8AL, UK. Registered Number: 4416252.  Rothschild Wealth Management (UK) Limited is authorised and regulated by the Financial Conduct Authority in the UK for the provision of investment services and is registered as an investment adviser with the US Securities and Exchange Commission (SEC). If you are dissatisfied with any services provided by Rothschild Wealth Management (UK) Limited, you should contact the Compliance Director at the address above or on 020 7280 5000.  Certain clients in the UK may also contact the Financial Ombudsman Service in case of any unresolved disputes: www.financial-ombudsman.org.uk.  If Rothschild Wealth Management (UK) Limited is unable to meet its liabilities, certain clients may be entitled to compensation under the Financial Services Compensation Scheme: www.fscs.org.uk.

Order Execution Policy

Stewardship Code

Rothschild Trust Corporation Limited, New Court, St. Swithin's Lane, London EC4N 8AL, UK.  Registered Number: 865402. Rothschild Trust Corporation is regulated by the Guernsey Financial Services Commission.

USA

Rothschild Trust North America LLC, 100 W Liberty St, 10th floor, Reno, NV 89501, ‎USA. Registered Number: 46-2780207. Rothschild Trust North America LLC is authorised and regulated by the Nevada Financial Institutions Division for the provision of retail trust services.

ROTHSCHILD PATRIMOINE

Rothschild & Cie Banque SCS, 29 Avenue de Messine 75008 Paris, France.  Registered Number: 323 317 032 R.C.S. Paris.  Rothschild & Cie Banque SCS is authorized and regulated by the Autorité de Contrôle Prudentiel et de Résolution to provide account-keeping services.

Rothschild & Cie Gestion SCS, 29 Avenue de Messine 75008 Paris, France.  Registered Number: 324 311 463 R.C.S. Paris.  Rothschild & Cie Gestion SCS is authorized and regulated by the Autorité des Marchés Financiers under number: GP-04000060 for the provision of portfolio management, carrying on wealth and asset management activities.

Rothschild Assurance & Cie Courtage SCS, 29 Avenue de Messine 75008 Paris, France.  Registered Number: 379 760 887 R.C.S. Paris.  Rothschild Assurance & Courtage SCS is authorized and regulated by the Autorité de Contrôle Prudentiel et de Résolution to provide insurance intermediary services, register number ORIAS:  07 023 210.

ASSET MANAGEMENT  - PRINCIPAL REGULATED OPERATING ENTITIES

France

Rothschild & Cie Gestion SCS, 29, Avenue de Messine, 75008 Paris, France. Registered Number: 324 311 463 R.C.S. Paris.  Rothschild & Cie Gestion SCS is authorized and regulated by the Autorité des Marchés Financiers under number GP-04000060 for the provision of portfolio management, carrying on wealth and asset management activities. 

Rothschild HDF Investment Solutions, 29, Avenue de Messine, 75008 Paris, France. Registered Number: 337 744 577 R.C.S. Paris. Rothschild HDF Investment Solutions is authorised and regulated by the Autorité des Marchés Financiers under number GP-90 089 for the provision of wealth and asset management activities.

Luxembourg

PO Participations SA, 1, place d'Armes, L-1136 Luxembourg, Grand Duchy of Luxembourg.  Registered Number: B131.555. PO Participations SA is a Luxembourg management company registered on the CSSF's official list of management companies governed by Chapter 15 of the Luxembourg law of 17 December 2010 on undertakings for collective investment, as amended, and is duly authorised by the CSSF as an alternative investment fund manager pursuant to Chapter 2 of the Luxembourg Law of 12 July 2013. In compliance with Law of 17 December 2010 and CSSF Regulation, the processing of claims responds to the principles of transparency with respect to the customer, providing objective information at no charge. Claims can be sent by postal mail to PO Participations S.A. (Attn Ms Anne-Claire Wax - Corporate Officer 1, Place d'Armes L-1136 Luxembourg), who will acknowledge receipt within ten working days. All claims will be handled as quickly as possible, and no later than two months following the date of receipt.

Switzerland

Rothschild Bank AG, Zollikerstrasse 181, 8034 Zurich, Switzerland. Registered Number: CHE-107.848.173. Rothschild Bank AG is authorised and regulated by the Swiss Financial Market Supervisory Authority FINMA to provide banking and securities dealer services.   

UK

Risk Based Investment Solutions Ltd, New Court, St Swithin's Lane, London EC4N 8AL, England.  Registered Number: 8818161.   Risk Based Investment Solutions Ltd is an investment management firm and an Appointed Representative of Midmar Capital LLP which is authorised and regulated by the Financial Conduct Authority (FRN 519772).

Rothschild HDF Investment Adviser Limited, New Court, St Swithin's Lane, London EC4N 8AL, England.  Registered Number:  01454959.  Rothschild HDF Investment Adviser Limited is authorised and regulated by the Financial Conduct Authority (FRN. 407404) for the provision of investment management services.

USA

Rothschild Asset Management Inc., 1251 Avenue of the Americas, New York, NY 10020, USA. Registered Number: 13-2544634. Rothschild Asset Management Inc. is authorised and regulated by the U.S. Securities and Exchange Commission for the provision of investment advisory services.

MERCHANT BANKING  - PRINCIPAL REGULATED OPERATING ENTITIES

In accordance with applicable laws and regulations and with Rothschild & Co's policy and approach on conflicts of interests, the managing entities of Merchant Banking have defined a policy for the identification, resolution and management of conflicts of interests. Read more on our Conflict of Interest Policy.

France

Five Arrows Managers SAS, 23 bis, Avenue de Messine 75008 Paris, France.  Registered Number: 509 679 189.  Five Arrows Managers SAS is authorized as a portfolio management company (“société de gestionde portefeuille”) by the Autorité des Marchés Financiers (AMF). In compliance with AMF Instruction 2012-07, the processing of claims responds to the principles of transparency with respect to the customer, providing objective information at no charge. Claims can be sent by postal mail to Five Arrows Managers SAS, 23 bis, Avenue de Messine 75008 Paris, France who will acknowledge receipt within ten working days. All claims will be handled as quickly as possible, and no later than two months following the date of receipt.

Luxembourg

PO Participations SA, 1, place d'Armes, L-1136 Luxembourg, Grand Duchy of Luxembourg.  Registered Number: B131.555. PO Participations SA is a Luxembourg management company registered on the CSSF's official list of management companies governed by Chapter 15 of the Luxembourg law of 17 December 2010 on undertakings for collective investment, as amended, and is duly authorised by the CSSF as an alternative investment fund manager pursuant to Chapter 2 of the Luxembourg Law of 12 July 2013. In compliance with Law of 17 December 2010 and CSSF Regulation, the processing of claims responds to the principles of transparency with respect to the customer, providing objective information at no charge. Claims can be sent by postal mail to PO Participations S.A. (Attn Ms Anne-Claire Wax - Corporate Officer 1, Place d'Armes L-1136 Luxembourg), who will acknowledge receipt within ten working days. All claims will be handled as quickly as possible, and no later than two months following the date of receipt.

UK

Five Arrows Managers LLP, New Court, St Swithin's Lane, London, EC4N 8AL, England.  Registered Number: OC302492. Five Arrows Managers LLP is authorized and regulated by the Financial Conduct Authority for the provision of investment services. Five Arrows Managers LLP also carries on business under the name of Rothschild Credit Management (Europe).

N M Rothschild & Sons Limited, New Court, St Swithin's Lane, London, EC4N 8AL, England.  Registered Number: 925279.  N M Rothschild & Sons Limited is authorised and regulated by the Financial Conduct Authority for the provision of investment services. 

USA

Westgate Horizons Advisors LLC, 633 West 5th Street, Suite 66000, Los Angeles, CA 90071, USA.   Registered Number: 136191.  Westgate Horizons Advisors LLC is registered as an investment advisor with the US Securities and Exchange Commission and is regulated under the US Investment Advisers Act of 1940.  Registration as an investment advisor does not imply a certain level of skill or training. West Gate Horizons Advisors LLC also does business under the name of Rothschild Credit Management (North America) and RCM North America.

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