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Corporate and Regulatory Information
Olivetree is a trading name of Argon Financial Limited(“Argon”). Argon is authorised and regulated by the Gibraltar Financial Services Commission, ref FSC0824MIF, and is subject to limited regulation with the Financial Conduct Authority in the United Kingdom, ref 630135.
In the United States, Argon is being chaperoned under Rule15a-6 under the U.S. Securities Exchange Act of 1934 (“Rule 15a-6”) through Global Alliance Securities, LLC, located at 2464 Darts Cove Way, Charleston, South Carolina, 29466 (“Global Alliance”), a broker-dealer registered with the U.S. Securities and Exchange Commission (the “SEC”), and a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”).
Terms of Business
Anti Money Laundering
Olivetree Financial 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 operates in accordance with the requirements of the Markets in Financial Instruments Directive. a copy of our order handling and best execution policies are available on request.
Complaints Procedures
Olivetree Financial is a trading name of Argon Financial Limited (“Argon”) and is committed to following sound business principles and good practice, to ensure our clients receive the best possible service at all times, therefore, it is important to us that we hear any concerns you may have regarding the services we offer.
In the unlikely event that you feel dissatisfied with any aspect of our service and should you wish to advise of this, we kindly ask you to contact our Compliance Department by writing to complaints@argonfinancial.com or by telephone on +44 (0)203 370 6228.
If you have already discussed your concerns with a member of staff, please include their name and department in your correspondence as this will assist in your complaint being answered more promptly. Argon is committed to ensuring that client complaints are handled promptly and fairly and endeavour to provide acknowledgement to all complaints within 24 hours, outlining the actions Argon will take to resolve any complaints raised and will provide full details of the decision reached within 10 days of receipt.
We ensure that a complaint is managed by an employee with appropriate seniority, who assesses the severity of the complaint fairly, diligently and impartially to ascertain whether there are reasonable grounds for the complaint to be upheld, and who is able to initiate any remedial action or redress (or both) that may be considered appropriate.
If you do not feel that the response from our Compliance Officer has been satisfactory, or you feel the response provided has not resolved the issue fully, you may refer the matter to the Gibraltar Financial Services Commission(“GFSC”), however, the GFSC does NOT act as an independent medium for Financial Institutions it regulates and is therefore not considered as acting as a Financial Ombudsman Service.
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