Legal Terms
About Winterflood Securities Limited
Winterflood Securities Limited ("Winterflood"), is a Member Firm of the London Stock Exchange and regulated by the Financial Conduct Authority (registered number 141455). Winterflood’s registered office is Riverbank House, 2 Swan Lane, London EC4R 3GA, and the company number is 02242204.
Not Suitable for US Persons
This website is not directed at, intended for distribution to, or use by any US Person or entity that resides in or is located in the USA or any other jurisdiction where such distribution, availability or use would be contrary to law or regulation or would subject Winterflood to registration or licensing requirements.
Information on this website
The investments and investment services (including research reports) described on this website may not be suitable for all people. Nothing on this website constitutes professional and/or financial advice. All material on this website is for information purposes only.
We make every effort to keep our website up to date but cannot guarantee that information on it is accurate or current and you should not rely upon it. To the extent permitted by law, Winterflood excludes all responsibility and liability for loss or damage incurred by any user of this website.
Nothing on this website constitutes or forms a part of any offer for sale, subscription of, or any invitation to buy or subscribe for any securities or other financial instruments. The information available on this website should not form the basis of, or be relied upon in any connection with any contract or commitment.
The services described on this website are available solely subject to the terms of an appropriate contract with Winterflood.
Use of links
If you leave this website via a link contained herein you do so at your own risk. Winterflood is not responsible for the link nor any content you access from it and accepts no liability for any loss or damage arising as a result.
Intellectual Property and Data
All intellectual property rights in the content of this website belong to Winterflood or its licensors. Any instrument or reference data extracted and used from this website may require you to have a license agreement from the relevant exchange or data vendor.
Access and availability
We try to ensure that this website is always available for access but from time to time we may need to restrict access without warning for security or updating purposes. We accept no liability for any loss or damage incurred arising from any loss of access to this website.
Some areas of the website may require you to register. If you apply to access these areas, you confirm that we can use your information as set out in our Privacy Policy. We may not approve your application and may remove or limit your access at any time, without liability. If we do grant you access to a restricted area of the website, you must keep your login details are confidential and not permit or enable another person to use them.
Malware
You must not misuse this website by knowingly introducing viruses or other material which is malicious or technologically harmful. You must not hack or attempt to hack this website or our servers.
Winterflood will not be liable for any loss or damage caused by harmful material that may infect your computer equipment or materials due to your use of this website, your downloading of any material posted on it or on any website linked to it.
Research
Unless otherwise stated the research reports available on this website (“Research”) are intended for professional investors. Winterflood does not conduct investment business in the UK with private customers and services and products mentioned or referred to in our Research are not available to these people. The Research is not an offer for sale or subscription, or any invitation to offer to buy or subscribe for, any securities or other financial instruments and must not be construed as such.
No Research report is intended to provide the sole basis for any investment decision. The Research must not be relied upon in connection with any contract or commitment. All information used in our Research comes from publicly available sources, believed to be reliable.
Each Research report must be read in conjunction with the appropriate disclaimer which forms part of it. Any opinions expressed in any Research report are those of the Winterflood Investment Trusts Research team at the date of the relevant Research report and are subject to change.
The Research contains information of a general nature and does not address the circumstances of any particular individual or entity and nor does it constitute advice, including legal, tax, financial and/or other professional advice, or a comprehensive or complete statement of the matters discussed.
Winterflood does not warrant or guarantee the accuracy, adequacy completeness of any Research report and excludes all liability in connection therewith.
The Research is classified as a ‘marketing communication’ under the UK regulatory rules. It has not been prepared in accordance with legal requirements designed to promote the independence of investment research and is not subject to any prohibition on dealing ahead of the dissemination of investment research.
Each of Winterflood’s Research analysts certify with respect to each issuer, security or financial instrument covered that their Research reflects their personal views and that no part of their compensation was, is, or will be, related to the specific recommendations made. Any opinions expressed are subject to change.
Winterflood has structured its business to mitigate the conflicts of interest inherent in its activities and operates a conflict-of-interest policy. Potential conflicts could arise when Research is issued in securities in which Winterflood makes markets (trading in a principal capacity), or for whom it is appointed as a Corporate Broker/Adviser. Winterflood has several controls in place to manage these potential conflicts including:
- All staff must adhere to an Inside Information Policy;
- Research services are billed independently of any other service;
- The Research team is physically separated from other teams; and
- All staff must adhere to personal dealing controls.
Winterflood’s Research disclosures for recommended securities can be accessed via our research portal dashboard and through the following link:
https://www.winterfloodresearch.com/system/files/dashboard/Recommendations%20list%20-%20daily_0.xlsx.
Winterflood is not a registered broker-dealer with the U.S. Securities and Exchange Commission (“SEC”) and is not a member of the U.S. Financial Industry Regulatory Authority, Inc. (“FINRA”). The Research reports are distributed directly by Winterflood to persons in the U.S. that qualify as “major U.S. institutional investors,” as such term is defined in Rule 15a-6 of the U.S. Securities Exchange Act 1934 and is provided by Winterflood to such U.S. persons solely for information purposes. This Research has not been prepared in compliance with FINRA’s restrictions regarding (among other things) communications by research analysts with a subject company, interactions between research analysts and investment banking personnel, participation by research analysts in solicitation and marketing activities relating to investment banking transactions, public appearances by research analysts and trading securities held by a research analyst account.
Law
English law governs the use of this website and these terms. The Courts of England have exclusive jurisdiction to resolve any dispute or claim arising out of or relating to this website and these terms.
