Corporate Governance - ThomasLloyd Group

Corporate Structure

Organisational Structure

Supervisory Authorities

In all the areas where our Group companies operate, they comply with all regulatory requirements and cooperate with the relevant regulatory agencies.

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), brokercheck.finra.org.

ThomasLloyd Global Asset Management (Americas) LLC

ThomasLloyd Global Asset Management (Americas) LLC is licensed as a registered investment advisor by the United States Securities and Exchange Commission (SEC) under registration number 801-113991 and CRD number 298222. ThomasLloyd Global Asset Management (Americas) LLC also complies with the requirements in the current version of the 1940 Investment Advisers Act adviserinfo.sec.gov.

ThomasLloyd Global Asset Management (Schweiz) AG

ThomasLloyd Global Asset Management (Schweiz) AG is a member of the Financial Services Standards Association (VQF) and the Industry Association for Independent Asset Managers (BOVV), with membership number 12460. VQF is an officially recognised self-regulatory organisation (SRO) within the meaning of the Anti-Money Laundering Act (GWG) and is regulated and supervised by the Federal Financial Market Supervisory Authority (FINMA).

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, Germany www.frankfurt-main.ihk.de. The company is registered in the register of financial investment brokers (FAV) under number D-F-125-ZHA9-70 www.vermittlerregister.info. ThomasLloyd Global Asset Management GmbH provides investment brokerage and investment advisory services as a tied agent according to Sec. 2 (10) German Banking Act, acting for the account and under the liability of First Capital Management Group GmbH (‘FCM’). FCM is a German financial services institution under supervision of the German Federal Financial Supervisory Authority (‘BaFin’) and the German Central Bank. The corresponding BaFin-ID number of FCM is 116957. BaFin-Register. ThomasLloyd Global Asset Management GmbH is registered in the register of tied agents under number 80165233. BaFin-Register.

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.