Please read the following Disclaimer and click "Proceed To Website" to continue. Thank you.
IMPORTANT INFORMATION ABOUT ACCESS TO THIS WEBSITE
www.equitiesfirst.com/uk (website) and any information contained therein (i) is only intended for persons classified as Professional Clients and Eligible Counterparties for the purposes of FCA Rules and (ii) should only be accessed by persons located in a jurisdiction or country where access to such information is not contrary to local law and regulation. Information on this website must not be relied or acted upon by any other persons.
The investments and investment services referred to on this website may not be suitable for all investors. If in doubt investors should seek professional, independent financial advice, including the tax consequences in respect of any proposed course of action, before making any investment decision.
The information contained in this website does not constitute an offer or solicitation in any jurisdiction in which it is not authorised, or to any person to whom such offer or solicitation is unlawful.
All persons accessing this website do so on an unsolicited basis and on their own initiative. It is the responsibility of persons accessing this website to inform themselves of, and act in accordance with, the legal and regulatory requirements in their jurisdiction of citizenship, residence or domicile.
This website should not be regarded as an offer or solicitation, or recommendation to conduct investment business, as defined by the Financial Services and Markets Act 2000, in any jurisdiction other than the United Kingdom.
This website is for residents of the United Kingdom only. If you are not resident in the United Kingdom you must not view this website.
Investors who are resident in or are citizens of any country other than the United Kingdom may be subject to local restrictions, therefore, the information contained in this website is not for distribution outside the United Kingdom. Under no circumstances should information or any part of it be copied, reproduced or redistributed.
Equities First (London) Limited and its affiliates disclaim all responsibility if persons access the Website, or the information on it, contrary to such legal and regulatory requirements.
If you have any doubts about your status, you must not access this website.
Please contact Equities First (London) Limited if you require any further information on your status. Definitions of 'professional client' and 'eligible counterparty' can be found in the Glossary of the FCA Handbook which can be accessed here.
Please read the Terms & Conditions of Use below carefully. These set out the terms and conditions for accessing this Website. After you have read and understood the Terms & Conditions of Use, you may click "Proceed To Website" to proceed. By doing so, you:
(i) Confirm that you are permitted to access this Website because you are a professional client or an eligible counterparty for the purposes of the FCA Rules.
(ii) Confirm that you are accessing this Website on an unsolicited basis, on your own initiative and in compliance with the laws and regulations of the jurisdiction or country in which you are residing.
(iii) Acknowledge expressly that you have read and understood the Terms & Conditions of Use and agree to abide by them.
To proceed, you must also agree to meet all Terms and Conditions set forth by Equities First (London) Limited as outlined here.
If you do not agree with these Terms and Conditions of Use and/or you are a retail client for the purposes of the FCA Rules, you are not permitted to access this Website.
© Copyright 2015 Equities First (London) Limited. All rights Reserved. Registered in England No. 8120457. Registered Office: Second Floor, 123 Aldersgate Street, Barbican, London England, EC1A 4JQ. Authorised and regulated by the Financial Conduct Authority.
DUTY & CARE
WHAT BORROWERS CAN EXPECT TO MANAGE RISK
As a global financial institution, our top priority is managing risk, regulatory compliance and AML considerations. For over 20 years, EquitiesFirst has worked to protect borrowers through a robust infrastructure to mitigate a wide variety of risk factors and prevent fraud. The measures we take help EquitiesFirst, our borrowers, and our partners remain safeguarded against possible improprieties.
“Integrity and diligence are at the heart of our business. We work with some of the most successful investors and entrepreneurs in the world and they expect no less.”
Track Record
The firm’s founder and CEO, Alexander Christy, Jr. is recognized as a pioneer in equity-backed lending and frequently sought-after for his insight and expertise.
Since 2002, EquitiesFirst has completed over 1,000 transactions, scaling organically as a self-funded, private investment firm. Our prudent collateral management and broad diversification have made sure that that our borrowers’ shares were returned at loan maturity when the loan principal was repaid.
At any given time, our broadly diversified investment portfolio holds several hundred positions across sectors, geographies, and times to maturity, to help protect and secure our portfolio resilience irrespective of broader market conditions.
EquitiesFirst is fully privately-owned and only invests its own proprietary assets. EquitiesFirst does not have external financing or debt, nor do we manage capital from external investors. This safeguards the stability of our capital, removing liquidity risk and contagion risk from within our portfolio.
DUE DILIGENCE
EquitiesFirst aligns with global regulators and holds itself to the highest standard of internal controls to prevent any forms of illicit activity in the equity markets. The first step in our legal process is a comprehensive onboarding application that requires prospective borrowers to provide thorough personal and corporate documentation.
EquitiesFirst exhausts its due diligence by reviewing potential collateral through our comprehensive research division, based in the United States, Asia and Europe. All proposed collateral is investigated from both a fundamental and technical perspective, including the shareholder base, liquidity, bid/ask spread, latest corporate events, financials, and price action.
As part of our AML/KYC, EquitiesFirst engages World Check as the first tier of diligence on a counterparty. For cases which require a more comprehensive inspection, we may engage the Mintz Group, a global expert in business intelligence. Applications that fail to meet EquitiesFirst’s due diligence criteria are rejected.
REGULATORY LICENSING
As a global financier, EquitiesFirst executes financing seamlessly across regulatory regimes and time-zones, based on a robust leadership and operational structure that adapts quickly to changing circumstances and market conditions. EquitiesFirst and its regional subsidiaries are licensed and regulated across multiple jurisdictions, operating in most of the major financial markets around the world.
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