Kvika Securities Ltd.

Regulatory Information

It is advisable for clients and prospective clients of Kvika Securities to familiarize themselves with the information provided on this page.

Conflicts of Interest

Under our conflicts of interest policy, every employee who manages investments or gives advice to a client must:

  • Be unaware of the interest, relationship or arrangement which might give rise to a conflict of interest between clients, the Company and its clients, or the Company and its employees;
  • Comply with the Company’s policy of independence which requires that our employees act in the client’s best interests and therefore disregard the interest, relationship or arrangement concerned when advising or acting on their behalf; or
  • If neither of the above are sufficient, disclose to the client using prescribed disclosures, the interest, relationship, or arrangement concerned; or
  • In exceptional circumstances, not act for the client.  In this circumstance Kvika Securities is unable to disclose the reason to the client.

Kvika Securities has identified the following potential conflicts of interest in its operations and has established the following means to manage these conflicts:

Independence Policy

To ensure conflicts are managed fairly between our clients and us and between clients, we operate an independence policy, which requires employees to disregard any interest, relationship, or arrangement with Kvika Securities or any other client when acting on behalf of a client.

Personal Interest

All directors, officers and employees are required to disclose any personal interest that may be material to our clients or us. This is carried out by each employee completing a Declaration of Outside Interests. They are also forbidden from offering, soliciting or accepting any inducement or incentive for the provision of services to clients. If they are offered any such inducement or incentive, they are required to report this to the Compliance Officer.

Personal Account Dealing

All employees must obtain prior approval to undertake personal account transactions in the markets that we operate.

Complaints Management Policy

Kvika Securities has 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.

Website Disclaimer

The information on this website has been prepared by Kvika Securities. The material on the 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.

Kvika Securities, 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.

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

Kvika Securities 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

Kvika Securities is 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. Kvika Securities does 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 Kvika Securities 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 Kvika Securities considers reliable. Any such information and views may change without notice and Kvika Securities is under no obligation to update or convey information if it finds out that the information was incorrect. Kvika Securities 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 is authorised and regulated by the Financial Conduct Authority. Calls to and from Kvika Securities and its employees may be recorded and stored by the Company for a minimum period of five years.