Legal Notice


Atlantic-Pacific Capital, Inc. (“Atlantic-Pacific”) is committed to the highest standards of professional conduct and operates with strict compliance with securities regulation. Atlantic-Pacific was incorporated in the state of Delaware on February 9, 1995 and is headquartered at One Dock Street Suite 404, Stamford, CT 06902.

Atlantic-Pacific has been registered as a broker-dealer with the United States Securities and Exchange Commission ("SEC") since October 25, 1995 (Registration # 8-48198). Atlantic-Pacific is also registered with a self-regulatory organization, the Financial Industry Regulatory Authority ("FINRA") (Central Registration Depository # 38356), 52 U.S. states and territories. Atlantic-Pacific is also a member of the Securities Investor Protection Corporation.

In addition, Atlantic-Pacific's wholly-owned United Kingdom subsidiary, Atlantic-Pacific Capital Limited, is registered with the Financial Conduct Authority ("FCA") (Firm Reference # 189147) and Atlantic-Pacific's wholly-owned Hong Kong subsidiary, Atlantic Pacific Capital Asia Limited, is registered with the Securities and Futures Commission ("SFC") (Central Entity # ARN800).

Atlantic-Pacific Capital Limited's wholly-owned Malta subsidiary, Atlantic-Pacific Capital Malta Limited, is registered with the Malta Financial Services Authority (“MFSA”) (Identification # ACML13) as a tied agent of Mirabella Malta Advisers Limited.

The licenses held by Atlantic-Pacific's registered representatives include: the FINRA Series 7, 24, 27, 39, 55, 63 and 99 in the United States; FCA Controlled Functions 1, 10, 11, 28 and 30 in the United Kingdom; and, SFC Papers 1 and 2 in Hong Kong. The FINRA licenses qualify representatives for the solicitation and sale of securities, the FCA licenses qualify representatives to provide general investment advice to professional investors, and the SFC licenses qualify representatives to deal in securities and provide services to professional investors.

Atlantic-Pacific operates within an established compliance framework, which is documented in a set of organizational policies and procedures manuals. Through this compliance framework, Atlantic-Pacific manages and monitors its authorizations, capabilities and the activities of registered representatives. In addition to its internal compliance function, Atlantic-Pacific also retains the services of external compliance specialists and regulatory counsel to monitor and review its policies and procedures.

Notice to Swiss Investors

Atlantic-Pacific offers the following financial service to Swiss investors: marketing and advertising of funds. Such service does not amount to a personal investment recommendation.

We are required by the Federal Financial Services Act (FinSA) to classify Swiss investors into three categories: retail (Private), Professional and Institutional Clients. The corresponding level of regulatory protection varies, depending on the investor's knowledge and experience in connection with investment matters:

  • Retail (Private) Clients are granted the highest level of regulatory protection. However, we do not market funds to Swiss Private Clients;
  • Professional Clients who meet minimum requirements such as operating a treasury operation, are deemed to have the necessary knowledge and experience to invest in all asset classes and to be financially able to bear the investment risks associated with the financial services; and
  • Institutional Clients such as regulated financial intermediaries, insurance companies and central banks are afforded the lowest level of regulatory protection.

We market funds only to Institutional and Professional Clients under FinSA (Qualified Investors under the Collective Investment Schemes Act (CISA)). Consequently we will not verify whether the funds offered to such investors are suitable or appropriate.