Regulatory Information

For information about the regulation of Moelis, please click below:

• Business Continuity Plan
• Brazil
• Canada
• China
• France
• Germany
• Hong Kong
• India
• Israel
• Netherlands
• Saudi Arabia
• United Kingdom
• United Arab Emirates, Dubai International Financial Centre
• United States

Business Continuity Plan

Moelis & Company (Moelis) is committed to safeguarding employees and protecting clients in the event of an emergency or significant business disruption. Moelis maintains a Business Continuity Plan (BCP or the Plan) to assess and mitigate disruptions affecting the Firm’s business and operations.

In the event of such an emergency or a significant business disruption, Moelis’s BCP is reasonably designed to enable Moelis to make a financial and operational assessment, recover and resume business operations promptly, protect Moelis’s books and records, allow clients access to Moelis expertise and services to pursue existing engagements, and maintain necessary communication with employees and clients.

The Plan addresses significant business disruptions that vary in scope and severity. In the event of significant disruptions that impact physical office spaces or buildings in which Moelis conducts its operations, Moelis will leverage its remote work capabilities to allow employees to resume critical business functions from a safe remote environment so that Moelis may continue to provide clients with key services. The Plan also considers Moelis’s comprehensive architecture for the electronic back-up and recovery of its data. Regional data is replicated to primary data facilities based on proximity. Replicated data is backed up along with local data on a regularly scheduled basis. Backup data is stored off-site in a secure archive facility.

If Moelis determines that it is unable to resume operations in the event of an emergency incident or significant business disruption, Moelis will notify clients and employees and prioritize protecting clients, employees, and Moelis’s property and data. Moelis’s BCP is reviewed on an annual basis and subject to change. Please note that this disclosure does not amend or change any of the terms set forth in any agreements between Moelis and its clients.

Brazil

Moelis & Company Assessoria Financeira Ltda. (“Moelis Brazil”) 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 Brazil is not registered with Comissão de Valores Mobiliários – CVM or any other governmental or regulatory authority in Brazil to conduct any activities that require such registration.

Canada

Moelis & Company LLC is a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).

Moelis & Company LLC operates under an International Dealer Exemption (“IDE”) from the dealer registration requirement under NI 31-103 in Canada.  The IDE permits Moelis & Company LLC to trade in “foreign securities” with certain “permitted clients” in Canada under applicable Canadian securities laws.

Moelis & Company LLC is not registered in Canada and its activities are not subject to the same regulatory oversight as Canadian-registered dealers.  Moelis & Company LLC has appointed an agent for service of process in Canada.  Additional information on the agent for service of process is available upon request by contacting (212) 883-3800 or [email protected].

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 Netherlands B.V. French Branch / Succursale en France – 121, avenue des Champs-Elysées, 75008 Paris – 890 713 498 RCS Paris.

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 8th Floor Office, TaunusTurm, Neue Mainzer Straße 52 – 58, Frankfurt 60311 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 1 (dealing in securities), Type 4 (advising on securities) and 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 (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.

Please read Moelis’s Privacy Policy at /privacy-cookie-policy/.

For investor grievances please email at [email protected]. A link to the Investor Charter which we are required to publish is here.  Our latest Investor Complaints Data is available here. Disclosure on list of activities that are not regulated SEBI is available here.

To see Moelis & Company India’s Corporate Social Responsibility Program, please click here.

Annual Return-Moelis & Company India Private Limited’s Annual Return is duly available upon request and can also be found on the Ministry of Corporate affairs website.

Israel

Moelis & Company Israel Ltd. (“Moelis Israel”) is a company incorporated in Israel which engages in investment advisory services and is headquartered in Tel Aviv. Moelis Israel is not licensed or registered with the Israel Securities Authority or any other governmental or regulatory authority in Israel to conduct any activities that require such registration. Moelis Israel provides services only to institutional clients or other sophisticated clients in accordance with applicable law.

Netherlands

Moelis & Company Europe B.V. (“Moelis Europe”) is a private company with limited liability (besloten vennootschap met beperkte aansprakelijkheid) under the laws of the Netherlands, having its official seat in Amsterdam, the Netherlands and its registered office at Zuidplein 158 Tower H, 1077 XV Amsterdam, the Netherlands, registered with the trade register of the Dutch Chamber of Commerce under number 81044291. Moelis Europe is licensed as an investment firm pursuant to Section 2:96 of the Dutch Financial Supervision Act (Wet op het financieel toezicht) to provide (i) the investment services (a) reception and transmission of orders in relation to one or more financial instruments and (b) investment advice and (ii) the ancillary service advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings. Moelis Europe is supervised by the Netherlands Authority for the Financial Markets (Autoriteit Financiële Markten) and the Dutch Central Bank (De Nederlandsche Bank).

The board of directors of Moelis Europe are responsible for corporate governance, company strategy direction and ensuring Moelis Europe is controlled effectively and that it complies with the relevant requirements and standards of the regulatory system. The board members ensure at all times that they are able to devote sufficient time to the fulfilment of their duties at Moelis Europe.  The board also provides for internal control procedures to guarantee that decisions and procedures are adhered to. Furthermore, the board ensures that Moelis Europe (i) has a permanent and effective compliance function, (ii) approves and reviews on a periodic basis the adequacy of the internal procedures, (iii) establishes and applies a remuneration policy in line with relevant legislation and (iv) complies with all relevant regulatory requirements and obligations.

Moelis & Company Netherlands B.V. (Moelis Netherlands) is a private company with limited liability (besloten vennootschap met beperkte aansprakelijkheid) under the laws of the Netherlands, having its official seat in Amsterdam, the Netherlands, and its registered office at Zuidplein 158 Tower H, 1077 XV Amsterdam, the Netherlands, registered with the Dutch Trade Register under number 75678853. Moelis Netherlands 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 the Dutch Financial Supervision Act (Wet op het financieel toezicht), i.e. it does not hold a banking or financial services licence.

The material on this website is provided for information only and is not intended to be, or should be construed as, investment advice or services, nor is anything contained in it a recommendation of any particular security or investment. Nothing on this website is, or should be construed as, an offer to, or a solicitation of, any person in the Netherlands, to sell or buy any security or investment.

Saudi Arabia

Moelis & Company Saudi Limited (Moelis Saudi) is a single shareholder limited liability company licensed by the Capital Market Authority (CMA) to conduct advising and arranging business with paid up share capital of SAR 10,000,000. Its commercial registration number is 1010734560 and its head office is at King Abdullah Financial District, Financial Blvd, Muqarnas Tower 1.09, 12th Floor, Unit 1, Riyadh 13519, Saudi Arabia.
Moelis Saudi operates under CMA licence number 20209-30 dated 12/05/2020 and was authorised to commence business on 16/02/2023.
For further information on Moelis Saudi in English please click here.

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 EL971457985, and Company registered number OC 340005.

Moelis & Company Europe Limited is a private limited company incorporated under English law having its registered office at 25 Baker Street, London, United Kingdom, W1U 8EQ, registered with the Registrar of Companies for England and Wales under company number 7888301.

Moelis & Company London Limited is a private limited company incorporated under English law having its registered office at 25 Baker Street, London, United Kingdom, W1U 8EQ, registered with the Registrar of Companies for England and Wales under company number 15924019.

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.

Modern Slavery Act Statement

Introduction

This statement is made by Moelis UK pursuant to Section 54(1) of the UK Modern Slavery Act 2015 (the “Act”) in respect of the financial year ending 31 December 2024.

Moelis UK is a UK-based subsidiary of Moelis & Company, a Delaware company listed on the New York Stock Exchange (NYSE: MC). Moelis & Company and its subsidiaries (the “Moelis Group”) are a leading global independent investment bank that provides innovative, unconflicted strategic advice to a diverse client base. The Moelis Group assists clients in achieving their strategic goals by offering comprehensive, globally integrated financial advisory services across all major industry sectors. We support our clients through all phases of the business cycle through expert capabilities in M&A, Recapitalization & Restructuring, Capital Markets and Financial Institution Advisory. The Moelis Group employs approximately 1400 employees who serve our clients from offices in New York, Washington DC, Boston, Chicago, Houston, Los Angeles, San Francisco, West Palm Beach, São Paulo, London, Frankfurt, Amsterdam, Paris, Dubai, Riyadh, Tel Aviv, Beijing, Hong Kong and Mumbai.

The Moelis Group is committed to acting according to the highest standards of ethical behaviour in our business activities and to ensuring that there are no instances of modern slavery or human trafficking in any part of our operations or supply chain. We seek to work with suppliers who meet the same strict standards and who share our values.

Policies
The Moelis Group’s Global Code of Conduct enshrines the Moelis Group’s commitment to ensure that its business is conducted according to the highest standards of ethical conduct and according to all applicable laws and regulations. Each Moelis Group employee has access to the whistle-blowing procedures to report or raise any concerns, warnings, or suspected unethical behaviour including in respect of modern slavery or human trafficking. We also operate a number of related policies and procedures that support our commitment to sustainable business practices and respect for human rights, including our equal opportunities and diversity initiatives. In addition, our recruitment and privacy policies ensure we only recruit those lawfully permitted to work, and that we retain and process personal data relating to our partners and employees in compliance with applicable laws.

Risk Assessment and Supply Chain
With respect to our supply chain, Moelis UK undertook a risk assessment of its supply chain in respect of the financial year to 31 December 2024 to assess any risk of modern slavery to Moelis UK’s business. The vast majority of Moelis UK’s suppliers are UK-based professional service firms, office suppliers and recruitment agents and based on our review of Moelis UK’s suppliers we consider that the risk of modern slavery and human trafficking within our supply chain is low but we nevertheless shall keep this under review on a periodic basis.

Staff Awareness
Moelis UK’s employee handbook specifically informs employees of Moelis UK of the Modern Slavery Act and our zero tolerance approach to any instance modern slavery and human trafficking.

This statement was approved by the management committee of Moelis UK in respect of the financial year ending 31 December 2024.

United Arab Emirates, Dubai International Financial Centre

Moelis & Company UK LLP 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 203/204, Level 2, Gate Village 1, Dubai International Financial Centre, Dubai UAE PO Box 506777.

United States

Moelis & Company LLC (“Moelis”) is a broker-dealer registered with the U.S. Securities and Exchange Commission a member 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.

USA Patriot Act Notice

U.S. Federal law, including the USA PATRIOT Act, requires financial institutions to obtain, verify and record information that identifies each client with whom we establish a business relationship. As part of this process, we may request information such as your name, address, date of birth (for individuals), taxpayer or other identification number and relevant corporate or organizational documents. We may use third-party sources to verify the information you provide.

Customer Complaint Information
Moelis is committed to addressing client concerns promptly and fairly. Complaints may be reported to our Chief Compliance Officer:

By telephone:  (212) 883-3800

By mail:

Moelis & Company LLC
399 Park Avenue
New York, NY 10022
Attn: Legal & Compliance

Complaints received will be handled in accordance with applicable SEC and FINRA requirements 

Customer Relationship Summary (Form CRS)
Moelis provides financial advisory services to corporate, institutional and private fund clients.  In connection with these engagements, and on behalf of its corporate clients, Moelis may present investment opportunities in those companies and funds to eligible corporate and institutional investors. Such investors maintain investment discretion. At times we may offer such investment opportunities to sophisticated retail investors. Please see our Form CRS, in accordance with SEC Rule 17a-14 and as part of Moelis’s Regulation Best Interest framework, for further information regarding our services, fees and business.