Kvika Securities Ltd.

Regulatory Information

Kvika Securities Ltd. (KSL) is authorised and regulated by the Financial Conduct Authority (FRN: 538806). KSL is permitted to manage alternative investment funds and provide asset management and corporate finance services. KSL owns a subsidiary, Kvika Advisory Ltd. (KAL), that is also authorised and regulated by the Financial Conduct Authority (FRN: 747119). KAL is permitted to provide corporate finance services to professional investors.

It is advisable for clients and prospective clients of KSL and KAL to familiarize themselves with the information provided on this page. Any policies and procedures set by KSL and referred to on this page also apply to KAL, as applicable (each referred to as the "Company").

Conflicts of Interest

We have established a policy to manage possible conflicts of interest. Under the policy we have identified some potential conflicts of interest in our operations and established means to manage these conflicts. For further information, please see here.

Stewardship Code Disclosure

We are required to include on our website a disclosure about the nature of our commitment to the UK Financial Reporting Council's Stewardship Code or, where we do not commit to the Code, our alternative investment strategy. Our Stewardship Code Disclosure can be found here.

MIFIDPRU 8 Disclosures

Here you can find our MIFIDPRU 8 Disclosures.

Complaints Management Policy

We have implemented a Complaints Management Policy to ensure that complaints are handled promptly, easily and in a transparent manner. A summary of our complaints handling processes can be found here.

Data Protection Policy

We have implemented a Data Protection Policy with the aim of ensuring fair and transparent processing of personal data in compliance with the Data Protection Act and the General Data Protection Regulation. A copy of the policy can be found here.

Terms and Conditions for use of cookies

We follow the terms and conditions of our parent company for use of cookies. For further information, please see here.

Website Disclaimer

The material on this website is for informational purposes only to provide general information about the Company and its operations. The information shall not be considered investment advice, public investment advice or investment research, nor should it be regarded as an expert report. It shall also not be construed as an offer to sell, or a solicitation of an offer to buy, any security or other instrument, or an offer to arrange any transaction, or to enter into legal relations. The information on the website is of a general nature and does not take into account the financial status, investment plans or specific needs of the recipient. Any transactions that may occur on the basis of, or in connection with, information on the website is at the responsibility and risk of the recipient.

The Company, its executives or employees are in no way responsible for direct or indirect damage caused by information on, or related to, this site, the distribution of such information or for loss which may be attributed to inaccessibility of the website for a shorter or longer period.

The Company is the sole proprietor of all information published on this website, unless stipulated otherwise or implied or otherwise apparent from the context.

The Company is not responsible for the content of external websites and/ or social media belonging to group companies/ affiliates linked to this website.

The investment products and services described on this website may have tax consequences. Any tax reliefs referred to are those currently available and their value depends on the circumstances of the individual investor. Past performance and/ or forecasts are not a reliable indicator of future performance. Investments returns are subject to fluctuations and products/services mentioned on this website will put capital at risk. Where investments are exposed to currencies other than the base currency, they may be subject to foreign exchange rate fluctuations. Investment in private equity is considered a higher risk investment due to the illiquid nature of shares in private companies/ potential lack of dividends and should only form part of a balanced portfolio of investments.

This website is not intended for use by any person or entity in any jurisdiction or country where such distribution or use would be contrary to local law or regulation. It is the responsibility of every person using this website to satisfy themselves as to the full observance of the laws of any relevant country, including obtaining any government or other consent which may be required or observing any other formality which needs to be observed in that country.

E-mail Disclaimer

We are not responsible or liable for the wrong or incomplete communication of the contents of emails sent from the Company or its employees, a delay in its delivery or any damage occurring to your computer systems from receiving the email. We do not warrant the email or guarantee that it is free from viruses, malware or that no intrusion or interference of a third party has occurred to the email.

Any information on companies and financial instruments in such emails are set forth on an informational basis only and should not be considered a recommendation or solicitation to buy, hold or sell any security or to make any investment decision. 

Any information sent to investors in relation to any investments managed directly or indirectly by us is provided for informational purposes only to provide investors with general information about the status and performance of their respective investments. Such information may have been prepared by a third party but is presented to the best of our knowledge and based on information that we considers reliable. Any such information and views may change without notice and we are under no obligation to update or convey information if it finds out that the information was incorrect. The Company and its employees are not liable for direct or indirect damage that may result from the use of such information or its contents.

Recording of telephone conversations, storing, and saving of data

Kvika Securities and Kvika Advisory are authorised and regulated by the Financial Conduct Authority. Calls to and from the Company and their employees may be recorded and stored for a minimum period of five years.