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Moelis & Company LLC is a US broker dealer registered with the United States Financial Industry Regulatory Authority, Inc. and regulated by the United States Securities and Exchange Commission.
Customer Complaint Notice Disclosure Statement
In accordance with SEC Rule 17a-3(a)(18)(ii) complaints may be reported to the Chief Compliance Officer immediately by telephone at (212) 883-3800 or by mail at the following address: Moelis & Company LLC 399 Park Avenue New York, NY 10022 Attn: Compliance
Moelis & Company UK LLP (Company registered number OC 340005; registered address and principal office at 1st Floor Condor House, 10 St Paul’s Churchyard, London EC4M 8AL, United Kingdom) is authorised and regulated by the UK Financial Conduct Authority (“FCA”) with Firm Reference Number 516801. The partners of Moelis & Company UK LLP are: Moelis & Company International Holdings LLC and Moelis & Company UK Holdings LLC.
Moelis & Company UK LLP DIFC Branch is a branch of our FCA regulated entity, and is authorised and regulated by the Dubai Financial Services Authority (“DFSA”). Services provided are only available to Professional Clients and Market Counterparties as defined by the DFSA.
Moelis & Company Europe Limited is a company incorporated under the law of England and Wales with a limited liability resident in 1st Floor, Condor House, 10 St Paul´s Churchyard, London EC4M 8AL United Kingdom, registered at the Companies House for England and Wales under registration number 7888301. Directors: Mark Aedy and Neel Malviya.
Moelis & Company Europe Limited, Zweigniederlassung Frankfurt am Main (Frankfurt am Main Branch) is registered in the Commercial Register (Handelsregister) of the Local Court (Amtsgericht) of Frankfurt am Main, Germany, under registration number HRB 92956, having its business address at 8th Floor Office, TaunusTurm, Neue Mainzer Straße 33 – 37, Taunustor 1 – 3, 60310 Frankfurt am Main, Germany. Permanent Representatives (Ständige Vertreter) and Prokuristen of the Branch (Zweigniederlassung): Stefan Mueller and Jan Caspar Hoffmann. The term “Managing Director“ refers to an internal title only.
Moelis & Company Europe Limited ist eine Gesellschaft englischen Rechts mit beschränkter Haftung mit Sitz in 1st Floor, Condor House, 10 St Paul’s Churchyard, London EC4M 8AL Vereinigtes Königreich, eingetragen beim Gesellschaftsregisteramt für England und Wales unter der Nummer 7888301. Direktors (Directors): Mark Aedy und Neel Malviya.
Moelis & Company Europe Limited, Zweigniederlassung Frankfurt am Main ist im Handelsregister des Amtsgerichts Frankfurt am Main, Deutschland, unter HRB 92956 eingetragen. Ihre inländische Geschäftsanschrift lautet 8th Floor Office, TaunusTurm, Neue Mainzer Straße 33 – 37, Taunustor 1 – 3, 60310 Frankfurt am Main, Deutschland. Ständige Vertreter und Prokuristen der Zweigniederlassung: Stefan Mueller und Jan Caspar Hoffmann. Die Bezeichnung als „Managing Director“ bezieht sich lediglich auf einen internen Titel.
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.
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.
Moelis & Company UK LLP, French branch / Succursale en France – 121, avenue des Champs-Elysées, 75008 Paris – 810 757 955 RCS Paris – SIRET 810 757 955 00028, is the French branch of Moelis & Company UK LLP, a firm authorised and regulated by the UK Financial Conduct Authority (“FCA”) with Firm Reference Number 516801. The French branch is also regulated in France by the Autorité de contrôle prudentiel et de résolution (61, rue Taitbout, 75436 Paris cedex 09; +331 4995 4000) and Autorité des marchés financiers (17, place de la Bourse, 75082 Paris cedex 02; +331 5345 6000) with ACPR identification number 18633.
Moelis & Company India Private Limited (CIN: U67190MH2012FTC231419) is a company incorporated in India and registered as a merchant banker with the Securities and Exchange Board of India and regulated by it. It engages in merchant banking and investment advisory services.
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, 2011, then use of such information will be governed by the rules and the Information Technology Act, 2000.
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.
To learn more about Moelis, please visit www.moelis.com.