Terms of Business & Financial Regulations

OSL regulatory status

OTKRITIE Financial Corporation JSC is the holding company of OSL. OSL is authorised and regulated by FSA.

OSL’s Basic Details

Companies House Registration Number: 4621383.
Addrees: 12th Floor, 88 Wood Street, London EC2V 7RS, UK.
UK VAT Number: 919 5086 00.
FSA registration number: 225539.
The Financial Services Authority registration numbers given above are in the public domain and can easily be verified by using FSA’s register.
OSL’s page with FSA.

OSL’s Compliance Contact

David Moss, Compliance Officer.
Direct Line: +44 (0) 20 7826 8235, Fax: + 44 (0) 20 7826 8201, david.moss@otkritie.com.

Anti-Money Laundering/Financial Crime Policy (AML/FCP) Statement

OSL is committed to the prevention of financial crime such as money laundering and the funding of terrorist activity. Through risk-based procedures and policies based on the industry guidance set up by the Joint Money Laundering Steering Group, OSL strives to ensure that high standards of crime prevention are maintained by its management and staff. It is OSL’s policy to conduct business only with legitimate customers in legitimate business transactions involving funds from legitimate sources. Should you have any specific questions regarding OSL’s AML/FCP please contact the OSL Compliance Department.

RESEARCH

OSL utilising intellectual leverage of its Russian affiliated entities produces investment research under the brand name Otkritie Capital in accordance with regulatory requirements applicable to investment research as published by the FSA. For an overview of important procedures adopted by OSL in connection with publication of investment research and important disclosures with regard to issuers that are featured in our investment research publications please consult Conflict of Interest Policy and Important Disclosures documents published on this website. All research publications produced by OSL and published under the brand name Otkritie Capital are subject to Global Disclaimer. Please consult the documents for important legal information.

• Notification of changes in OSL Terms of business as of February 2012
Best Execution Policy.
A Guide to the Direct Market Access to the London Metal Exchange through OSL: Structure and Market Terminilogy.
Summary of Certain Worldwide Exchange’s Rules Related to Access to Their Electronic Trading System.
Pillar 3 Disclosure