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Regulation

Australia

The Moelis group operates three financial services business in Australia, each of which is licenced and regulated by the Australian Securities and Investments Commission (“ASIC”).  Moelis Australia Securities Pty Ltd ACN 122 781 560, holds Australian Financial Services (“AFS”) Licence No. 308241; Moelis Australia Advisory Pty Ltd ACN 142 008 446 holds AFS Licence No. 345499; and Moelis Australia Asset Management Ltd ACN 142 008 535 holds AFS Licence No. 427515.  Each entity is authorised and regulated by ASIC.

Unless specifically stated otherwise, any information or advice provided does not take into account your personal financial objectives, situation or needs, and you should obtain and read all current disclosure documents before making any decisions to invest or trade.  

Australian Documentation

 

Brazil
 
Moelis & Company Assessoria Financeira Ltda. is a company incorporated in Brazil which engages in investment advisory services. The company is enrolled under CNPJ/MF No. 18,835,253/0001-40 and its headquarters are located in the city of São Paulo, state of São Paulo. Moelis & Company Assessoria Financeira Ltda. is not registered with any governmental or regulatory authority in Brazil to conduct any regulated activities. 
 

China

Moelis & Company Consulting (Beijing) Company Limited is a company incorporated in the People's Republic of China to engage in investment consultancy, business consultancy and related activities. It is not registered with the China Securities Regulatory Commission or other regulatory authorities in the People's Republic of China to conduct any regulated activities.

The contents of this website have not been reviewed by any regulatory authority in the People's Republic of China. You are advised to exercise caution in relation to the information contained in this website. If you are in any doubt about any of the contents of this website, you should obtain independent professional advice.

The material on this website is provided for information only and is not intended to be, or construed as being, investment advice or services, nor is anything contained in it a recommendation of any particular security or investment.

Nothing in this website is, or should be construed as, an offer to, or a solicitation of, any person in the People's Republic of China, to sell or buy any security or investment.

 

France

Moelis & Company France SAS is a French société par actions simplifiée with a share capital of EUR 10,000 having its registered office at 121 Avenue Des Champs Elysees, 75008, Paris, registered with the RCS Paris number 007888301, SIRET number 751 810 862 00027.

Editor:
Moelis & Company Group LP, 399 Park Avenue, 5th Floor, New York, NY 10022. Publishing Director: Osamu Watanabe, Moelis & Company Group LP, 399 Park Avenue, 5th Floor, New York, NY 10022. Hosting Provider: Moelis & Company Group LP, 399 Park Avenue, 5th Floor, New York, NY 10022.

 

Germany

Moelis & Company Europe Limited, Zweigniederlassung Frankfurt am Main (Frankfurt am Main Branch) is a branch of Moelis & Company Europe Limited, and is registered in the commercial register of Amtsgericht Frankfurt am Main under the register number HRB 92956 with its business address in 16. Stock, OpernTurm, Bockenheimer Landstr. 2-4, 60306 Frankfurt am Main, Germany. It is a strategic financial and capital markets advisor which does not render legal or tax advice nor does it provide regulated banking business or financial services within the meaning of section 1 paragraph 1 and 1a of the German Banking Act, i.e. it does not hold a banking or financial services license. The material on this website is provided for information only and is not intended to be, or construed as being, investment advice or services, nor is anything contained in it a recommendation of any particular security or investment. Nothing in this website is, or should be construed as, an offer to, or a solicitation of, any person in Germany, to sell or buy any security or investment.

 

Hong Kong

Moelis & Company Asia Limited, company number 1398698, is a corporation licensed by the Securities and Futures Commission in Hong Kong (with CE No. AT1825) to engage in Type 6 (advising on corporate finance) regulated activities. The contents of this website have not been reviewed by the Securities and Futures Commission or any regulatory authority in Hong Kong.

The contents of this website have not been reviewed by any regulatory authority in Hong Kong. You are advised to exercise caution in relation to the information contained in this website. If you are in any doubt about any of the contents of this website, you should obtain independent professional advice.


The material on this website is provided for information only and is not intended to be, or construed as being, investment advice or services, nor is anything contained in it a recommendation of any particular security or investment. Nothing in this website is, or should be construed as, an offer to, or a solicitation of, any person in Hong Kong, to sell or buy any security or investment. You should obtain independent professional advice if you intend to buy or sell any security or investment.

 

India

Moelis & Company India Private Limited is a company incorporated in India which engages in investment advisory services. CIN: U67190MH2012FTC231419. It is not currently registered with any governmental or regulatory authority in India to conduct any regulated activities. If any communication contains ‘sensitive personal data or information’ as defined in the Indian Information Technology (Reasonable security practices and procedures and sensitive personal data or information) Rules, 201, then use of such information will be governed by the rules and the Information Technology Act, 2000. 


United Kingdom

Moelis & Company UK LLP ("Moelis UK") is authorised and regulated by the UK Financial Conduct Authority with Firm Reference Number 516801, VAT number EL099936189, and Company registered number OC 340005.

Moelis & Company Europe Limited is a private limited company incorporated under English law having its registered office at 1st Floor, Condor House, 10 St Paul's Churchyard, London EC4M 8AL, UK, registered with the Registrar of Companies for England and Wales under company number 7888301.

The material on this Site is published solely for informational purposes and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments or as an offer or solicitation to conduct investment business as defined by the Financial Services and Markets Act 2000. It has no regard to the specific investment objectives, financial situation or particular needs of any person using this Site and as such does not constitute individual investment advice or a personal recommendation.

Any investments described on this Site may not be suitable for all people. Investors must assess for themselves whether any investment service is suitable for their own investment purposes before purchasing or using such service or product. The value of investments and the income derived from them may go down as well as up and you may not receive back all the money which you invest.

Where the material on this Site constitutes a financial promotion, it is issued and approved for distribution in the UK by Moelis UK only to, and directed at, (a) persons who have professional experience in matters relating to investments falling within Article 19(1) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (the "Order") or (b) high net worth entities, and other persons to whom it may otherwise lawfully be communicated, falling within Article 49(1) of the Order (all such persons together being referred to as "relevant persons"). Any material on this Site which constitutes a financial promotion must not be acted on or relied on by persons who are not relevant persons and any investment or investment activity to which this Site relates is only available to relevant persons and will be engaged in only with relevant persons.

 

United Arab Emirates, Dubai International Financial Centre

Moelis & Company UK DIFC Branch is a branch of Moelis & Company UK LLP, and is regulated by the Dubai Financial Services Authority ("DFSA"). Its DFSA Reference Number is F001620 and its registered office address is Unit 3, Level 6, Gate Precinct 3, DIFC , P.O.Box 506777, Dubai.

 

United States

Moelis & Company LLC is a broker-dealer registered under the Securities Exchange Act of 1934, is a member firm of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation, and is licensed in all 50 states, Puerto Rico and the District of Columbia.