In all the areas where our Group companies operate, they comply with all regulatory requirements and cooperate with the relevant regulatory agencies.
ThomasLloyd Global Asset Management (Schweiz) AG
ThomasLloyd Global Asset Management (Schweiz) AG is a member of the Financial Services Standards Association (Verein für Qualitätssicherung von Finanzdienstleistungen (VQF)), an official self-regulatory organisation in accordance with the Money Laundering Act (Geldwäschegesetz (GWG)) and recognised by the Federal Finance Administration (FFA), membership number 12460.
Hugh Johnson Advisors LLC
Hugh Johnson Advisors LLC is licensed as a registered investment advisor by the United States Securities and Exchange Commission (SEC) under registration number 801-63782 and CRD number 133395. Hugh Johnson Advisors LLC also complies with the requirements in the current version of the 1940 Investment Advisers Act.
ThomasLloyd Global Asset Management GmbH
ThomasLloyd Global Asset Management GmbH is licensed in accordance with Section 34f of the Trade, Commerce and Industry Regulation Act (Gewerbeordnung (GewO)). The licence in accordance with Section 34f GewO was issued by the IHK Frankfurt am Main, Börsenplatz 4, 60313 Frankfurt am Main, Germany, Tel.: +49 69 2197 – 2040, www.frankfurt-main.ihk.de
The company was entered in the register of financial investment brokers (FAV) under number D-F-125-ZHA9-70 and the entry can be viewed at www.vermittlerregister.info.
ThomasLloyd Capital LLC
ThomasLloyd Capital LLC is licensed as a registered broker-dealer by the United States Securities and Exchange Commission (SEC) under CRD number 38784 and is a member of the Financial Industry Regulatory Authority, Inc. (FINRA) and the Securities Investor Protection Corporation (SIPC), www.finra.org.
ThomasLloyd Capital Partners S.à r.l.
Registered with the Commission de Surveillance du Secteur Financier (CSSF), a public institution which supervises the Luxembourg financial sector.