Regulatory Disclosures



Acuma Hong Kong Limited is registered as an Authorised Insurance Broker and is regulated by the Hong Kong Confederation of Insurance Brokers (CIB) with license number 0426. Registered Company Number: 1169006. Chief Executive Officer: Mark Everitt. Registered Office Address: Chater House, 10th Floor, Suite 1006-7, 8 Connaught Road, Central Hong Kong, Hong Kong.

Acuma L.L.C. is regulated and licensed by the Securities & Commodities Authority in the United Arab Emirates under license number 608008 to provide Financial Consultation & Financial Analysis.

Broadgate Mutual Fund Brokerage Securities (Thailand) Ltd is licensed and regulated by the Thai Securities and Exchange Commission (SEC license no: 06-0048-18) as an Investment Advisory Services Advisor. Company registration number: 0105554085627. Broadgate Mutual Fund Brokerage Securities (Thailand) Ltd has two licenses: 1. The Investment Advisory Services license was activated on August 14th, 2012. 2. The LBDU license has not been activated yet.

Broadgate Mutual Fund Brokerage Securities (Thailand) Ltd is licensed and regulated by the Thai Securities and Exchange Commission (SEC license no: 06-0048-18) as an Investment Advisory Services Advisor. Company registration number: 0105554085627. Broadgate Mutual Fund Brokerage Securities (Thailand) Ltd has two licenses: 1.     The Investment Advisory Services license was activated on August 14th, 2012.   2.     The LBDU license has not been activated yet.

De Vere Acuma K.K. is registered with the Commercial Registry to advise clients on financial planning, pension planning and any and all business incidental or related to the foregoing.

Dénomination sociale: deVere France S.a.r.l, RCS B 528949837, 29 Rue Taitbout, 75009, Paris, France. Gérant: Mr. Jason Trowles. Registre avec ANACOFI-CIF (Association Nationale des Conseils Financiers). Nombre enregistré: E008176, association agréée par l’Autorité des Marchés Financiers. Courtier d'assurances ou de réassurance, Catégorie B, inscrit à l'Organisme pour le Registre des Intermédiaires en Assurance (ORIAS) numéro enregistré 12064640. Garantie Financière et Assurance de Responsabilité Civile Professionnelle conformes aux articles L 541-3 du Code Monétaire et Financier et L 512-6 et 512-7 du Code des Assurances. Registered name: deVere France S.a.r.l, registered company number RCS B 528949837, 29 Rue Taitbout, 75009, Paris, France. Gérant: Mr. Jason Trowles. Registered with ANACOFI-CIF (National Association of Financial Advisers). Registered number: E008176, association approved by the Financial Markets Authority. Insurance and re-insurance brokers, Category B, registered with the Organisation for the Registration of Assurance Intermediaries (ORIAS). Registered number 12064640. Financial and Professional Liability Insurance Guarantee conforms to article L 541-3 of the Monetary and Fiscal Code and L 512-6 and 512-7 of the Assurance Code.

deVere & Partners (L) Ltd is authorised and regulated by the Labuan Financial Services Authority (LFSA) as an Offshore Insurance Broker with License No is BS200132.

deVere & Partners Consulting (Shanghai) Co. Ltd has a certificate of approval for establishment of enterprises with foreign investment in the PRC. Certificate number 3100163604.

deVere & Partners Investment Services Ltd (Zambia) is an Investment Advisor authorised by the Securities and Exchange Commission of Zambia with License Number IAL/10/24.

deVere Acuma (Pty) Limited is licensed as a Financial Services Provider in terms of Section 8 of the Financial Advisory and Intermediary Services Act, 2002 (Act No. 37 of 2002) under license number 23719 and regulated by the Financial Services Board. Company Reg. Number 2005/021814/07

deVere Acuma Insurance Brokers L.L.C. is registered and licensed by the Insurance Authority in the United Arab Emirates under registration number 190 to act as an Insurance Brokerage and carries a Commercial License with number 571190.

deVere Acuma Insurance Brokers L.L.C., Abu Dhabi Branch is registered and licensed by the Insurance Authority in the United Arab Emirates under registration number 190 to act as an Insurance Brokerage and carries a Commercial License with number 1163508.

deVere Australia Group Pty Ltd (ABN: 76006275592) has an Australian Financial Services License. It is licensed and regulated by Australian Financial Services Authority under license number 243320. Managing Director: Rowan Currie. Registered address: Suite 4, 844 Nepean Highway, Hampton East, 3188, Commonwealth of Australia. deVere Australia Pty Limited (ABN 31 169 845 667) is an authorised corporate representative of deVere Australia Group Pty Ltd.

deVere Australia Pty Limited (ABN 31 169 845 667) is an authorised corporate representative of deVere Australia Group Pty Ltd which has an Australian Financial Services License. deVere Australia Group Pty Ltd (ABN: 76006275592) has an Australian Financial Services License. It is licensed and regulated by Australian Financial Services Authority under license number 243320. Managing Director: Rowan Currie. Registered address: Suite 4, 844 Nepean Highway, Hampton East, 3188, Commonwealth of Australia.

deVere Bahamas Inc. is regulated by the Securities Commission of the Bahamas and pursuant to Part VI Section 69(1) of the Securities Industry Act, 2011 and Part VI of the Securities Industry Regulations 2012 is registered as a firm to carry on securities activities in and from the Commonwealth of the Bahamas, subject to the terms and conditions specified in the Securities Industry Act and Regulations, under license number SIA-F164.

deVere Foreign Exchange Limited is licensed and regulated by the Financial Conduct Authority under license number 613238 as an Authorised Payment Institution.

deVere Germany GmbH. Trading Office Address: Schillerstrasse 14, Frankfurt am Main, Frankfurt, 60313, Germany. Managing Director: Kevin Birtles. deVere Germany GmbH is registered in the local court of Frankfurt am Main under HRB 55281. It is registered with the insurance agent register (http://www.vermittlerregister.info registration no. D-8HD0-NHM21-08). deVere Germany GmbH has a license according to sec. 34d German Trade Act (insurance broker), supervisory authority: Industrie- und Handelskammer, Frankfurt am Main, Börsenplatz 4, 60313 Frankfurt.

deVere Ghana Limited is licensed and regulated by the Securities and Exchange Commission as an Investment Advisor, under license number SEC/IAL 149/15.

deVere Group Caymans Ltd is licensed by the Cayman Islands Monetary Authority with license number 637195 under the Insurance Law, 2010, to carry on business within the Cayman Islands as an Insurance Broker under section 4 of the Law, subject to provisions of the said Law and, in particular, to the condition that the Licensee shall forthwith notify the Cayman Islands Monetary Authority of any change in the information supplied in the application for this license.

deVere Group India Investment Advisors Private Limited is regulated and licensed to act as an Investment Advisor by the Securities and Exchange Board of India under registration number INA100002693.

deVere Group Kuwait operates under a joint venture with Resources Development Consultancy Group. The company is licensed under trade license number 75341 by the State of Kuwait Ministry of Commerce and Industry.

deVere Group Prague s.r.o. is licensed and regulated by the Czech National Bank as an Insurance Agent and Insurance Broker under registration number 219876PM.

deVere Investment Advisory (Mauritius) Ltd, is authorised and regulated as an Investment Adviser (Unrestricted) by the Mauritius Financial Services Commission with License Number C111009642.

deVere Italia Srl (Società con Socio Unico). Registered number in Italy: MI-2041405. Registered Office Address: Via Domenico Scarlatti 30, Milano 20124, Italy. deVere Italia SRL is regulated by IVASS - Istituto per la Vigilanza sulle Assicurazioni as an Insurance Broker under sec. B of RUI (Register of Intermediaries governed by IVASS) license number B000500730. deVere Italia SRL e` autorizzata dall'Istituto per la Vigilanza sulle Assicurazioni come un broker assicurativo sec. B of RUI (Registro Unico degli Intermediari assicurativi e riassicurativi) con il numero di autorizzazione B000500730.

deVere Mortgages is a trading name of deVere and Partners (UK) Ltd which is authorised and regulated by the Financial Conduct Authority (469151). Registered address: 3rd Floor, Peek House, 20 Eastcheap, London, EC3M 1EB, United Kingdom. VAT Registration Number 109 4675 02.

deVere New Zealand Limited (FSP502166) is registered to provide the following financial services: Wholesale and/or generic financial adviser services, Employer or principal of a financial adviser and/or Qualifying Financial Entity and Keeping, investing, administering, or managing money, securities, or investment portfolios on behalf of other persons.

deVere Philippines Limited Inc does business under the name of deVere Insurance Agency and. is licensed and registered with the Securities and Exchange Commission under company registration number CS201206112 to sell, solicit or negotiate insurance for compensation as insurance agent.

deVere Spain S.L. Registered number in Spain: B92881598. Registered Office Address: Edificio MS208 Parque Miramar, 2nd Floor, Avda Sanz de Tejada s/n, Mijas Costa, Malaga, 29649, Spain. deVere Spain S.L., Correduría de Seguros, REG. DGS núm J2807, R.C. asegurada con AIG Europe Limited Sucursal en España, Capacidad Financiera conforme a la Ley. deVere Spain S.L., Insurance Broker, Registered DGS nº J2807, PI insurance with AIG Europe Limited Sucursal in Spain, appropriately qualified according to the law.

deVere United Kingdom is a trading name of deVere and Partners (UK) Ltd. deVere and Partners (UK). Registered number in England: 05260529. Registered Office Address: 3rd Floor, Peek House, 20 Eastcheap, London, EC3M 1EB. deVere and Partners (UK) Ltd is authorised and regulated by the Financial Conduct Authority (469151). VAT Registration Number 109 4675 02

deVere USA Inc. is a Registered Investment Advisor with the U.S. Securities and Exchange Commission (SEC) under registration number 801-78041.

deVere Zimbabwe (Pvt) Ltd.is licensed and regulated by the Securities and Exchange Commission of Zimbabwe as a Securities Investment Advisory Company in terms of the Securities and Exchange Act (Chapter 24:25). Registration number: SECZ4528V. deVere Zimbabwe (Pvt) Ltd. has an Investment license (Chapter 14:30 2006) granted in terms of Section 15 of The Zimbabwe Investment Authority Act by the Zimbabwe Investment Authority, license number 002495, for the provision of Financial Advisory Services.

International Alliance Muscat (L.L.C) is authorised and regulated by the Sultanate of Oman Capital Market Authority to carry out marketing non-omani securities. Registration number: CM1029