IMPORTANT LEGAL INFORMATION
PLEASE READ THE FOLLOWING TERMS AND CONDITIONS CAREFULLY. BY ACCESSING THIS SITE AND ANY PAGES IN IT, YOU AGREE TO BE BOUND BY THESE TERMS AND CONDITIONS. IF YOU DO NOT AGREE TO THESE TERMS AND CONDITIONS, DO NOT ACCESS, VIEW OR USE THIS SITE OR ANY INFORMATION CONTAINED HEREIN.
Password Protected Pages Usage
By using this password protected website, you hereby acknowledge and represent that you work for a company that qualifies under FINRA Rule 4512(c) as an "Institutional Account". The term "Institutional Account" means the account of: (1) a bank, savings and loan association, insurance company or registered investment company; (2) an investment adviser registered either with the SEC under Section 203 of the Investment Advisers Act or with a state securities commission (or any agency or office performing like functions); or (3) any other person (whether a natural person, corporation, partnership, trust or otherwise) with total assets of at least $50 million as of the date of this Certificate (whether such assets are invested for such person's own account or under management for the account of others).
References to "Incapital" throughout this website refer to the domestic operating entities owned by Incapital Holdings LLC. These operating entities include Incapital LLC, Member FINRA, SIPC; Incapital Financial Services, which is the branded name for Incapital Insurance Services LLC, member FINRA, SIPC; and Incapital Asset Management LLC. Incapital Financial Services is also registered as an insurance agency.
The information provided on this site or in any communication containing a link to this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Incapital, its affiliates, or issuers to any registration requirement within such jurisdiction or country. This site has been designed for informational purposes only. Nothing contained herein constitutes a solicitation or offer by Incapital or its affiliates to buy or sell any securities or other financial instruments or provide any investment advice or service. Neither Incapital nor any of its affiliates intend to provide investment advice through this site and they make no representation that any described securities or services are suitable for any investor. Incapital does not render tax or legal advice, and nothing contained in this site should be construed as such.
Incapital is a leading underwriter and wholesale distributor in several product classes. For further information on Incapital awards and current league tables, please Contact Us.
Notice to Non-US Persons
This site is published in the United States for residents of the United States. The site is not intended for use by, or to provide information to, persons outside the United States and such persons should not rely on the information contained in the site. Incapital reserves the right to require proof of residence from any user accessing and requesting information from the site. Investors outside the United States may be subject to securities or tax laws within their jurisdictions that are not addressed on this site.
Nothing contained in this site shall be construed as a solicitation to buy any security or an offer to sell any security, product or service to any non-US investor, nor shall any such security, product or service be offered or sold in any jurisdiction where such activity would be contrary to local laws or subject Incapital to registration within such jurisdictions. Some securities, products or services may not be available in all jurisdictions.
Disclaimer of Warranty and Limitation of Liability
THE INFORMATION ON THIS SITE IS PROVIDED 'AS IS.' INCAPITAL MAKES NO COVENANTS, REPRESENTATIONS, OR WARRANTIES OF ANY KIND WHATSOEVER, WHETHER EXPRESS OR IMPLIED (STATUTORY, BY OPERATION OF LAW OR OTHERWISE) RELATING TO THE CONTENT , THE SCOPE THEREOF OR THE ACCURACY OF ALL INFORMATION CONTAINED IN THIS SITE. INCAPITAL DISCLAIMS ALL EXPRESSED OR IMPLIED WARRANTIES INCLUDING, BUT NOT LIMITED TO, WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. INCAPITAL WILL NOT BE RESPONSIBLE FOR ANY LOSS OR DAMAGE THAT COULD RESULT FROM THE USE OF THIS WEBSITE OR FROM INTERCEPTION OR USE BY THIRD PARTIES OF ANY INFORMATION MADE AVAILABLE VIA THIS SITE. ALTHOUGH THE INFORMATION PROVIDED ON THIS SITE IS OBTAINED OR COMPILED FROM SOURCES WE BELIEVE TO BE RELIABLE, INCAPITAL CANNOT AND DOES NOT GUARANTEE THE ACCURACY, VALIDITY, TIMELINESS OR COMPLETENESS OF ANY INFORMATION OR DATA MADE AVAILABLE ON THIS SITE. NEITHER INCAPITAL, NOR ANY OF ITS AFFILIATES, DIRECTORS, OFFICERS, EMPLOYEES, AGENTS, OR MEMBERS, NOR ANY THIRD PARTY VENDOR, WILL BE LIABLE OR HAVE ANY RESPONSIBILITY OF ANY KIND FOR ANY LOSS OR DAMAGE THAT MAY BE INCURRED IN THE EVENT OF ANY FAILURE OR INTERRUPTION OF THIS SITE, OR RESULTING FROM THE ACT OR OMISSION OF ANY OTHER PARTY INVOLVED IN MAKING THIS SITE OR THE DATA CONTAINED THEREIN AVAILABLE, OR FROM ANY OTHER CAUSE RELATING TO ACCESS TO, INABILITY TO ACCESS, OR USE OF THE SITE OR THESE MATERIALS, WHETHER OR NOT THE CIRCUMSTANCES GIVING RISE TO SUCH CAUSE MAY HAVE BEEN WITHIN THE CONTROL OF INCAPITAL OR OF ANY VENDOR PROVIDING SOFTWARE OR SERVICES SUPPORT. IN NO EVENT WILL INCAPITAL, ITS AFFILIATES OR ANY SUCH PARTIES BE LIABLE FOR ANY DIRECT, SPECIAL, INDIRECT, CONSEQUENTIAL, INCIDENTAL DAMAGES OR ANY OTHER DAMAGES OF ANY KIND EVEN IF INCAPITAL OR ANY OTHER PARTY HAVE BEEN ADVISED OF THE POSSIBILITY THEREOF.
By conducting business with Incapital, client understands and acknowledges that they meet the definition of an “institutional account” as defined under FINRA rules and are capable of evaluating investment risks independently, both in general and with regard to any particular transaction(s) executed with Incapital as well as any investment strategies that they may employ in connection to any security(ies) purchased through Incapital. Additionally, with regard to any indications of interest or orders placed with Incapital, client understands that they are exercising independent judgment and not relying on Incapital for investment advice, a recommendation, a determination of suitability or discretion of any kind. Further, client acknowledge that they will not rely on any market commentary, sales literature, educational or marketing materials created or disseminated by Incapital for the purposes of determining suitability for any transaction(s) or investment strategy(ies).
USA PATRIOT Act: Foreign Banking Clients and Customer Identification Program / Diligence Program
In response to the terrorist attacks on September 11, 2001, the US Congress passed the USA PATRIOT Act. Parts of this Act apply to the financial services industry and require certain financial institutions to request specific information from foreign banks on a “certification” form. Also as part of the USA PATRIOT Act and to assist in the government’s fight against terrorist financing and money laundering, Incapital is required to obtain and verify information about the identity of our clients. Because of this, when you open an account or establish a business relationship with Incapital, we will ask for information that will allow us to confirm your identity or the identity of your corporation, partnership or other entity. This process may include a request to see to your driver's license, passport, corporate papers or other identifying documents. We know you share our commitment to this effort and appreciate your cooperation in helping us fulfill this important obligation.
Moreover, we have established and implemented a diligence process that is designed to a) evaluate the firms that have established a business relationship with Incapital and b) review each such firm's adherence to the provisions of each selling agreement or contract entered into with Incapital. As part of our diligence process and as may be contractually required in your selling agreement or contract with Incapital, you are obligated to provide timely notification to Incapital of any impediments or issues that may adversely impact your ability to fully perform the duties and responsibilities specified in your selling agreement or other contract with Incapital. We may request information from you on a periodic basis to assist us in the performance of our diligence review. Information provided to us will be retained in confidence to the extent permitted under applicable law and our regulatory responsibilities.
Copyright and Trademarks
The entire content of this site is subject to copyright and trademark protection with all rights reserved. No information contained in this site may be reproduced, transmitted, displayed, distributed, published or otherwise used for commercial purposes without the express written consent of Incapital. Brand names, product names, trademarks and service marks appearing in this site are the property of their respective owners.
This site may contain links to other Internet websites that are beyond the control of Incapital. Such links are provided for your convenience. Incapital assumes no responsibility for the accuracy, completeness, timeliness, suitability or legality of the content of any such websites, or for any products or services that might be offered therein.
This site may permit you to communicate electronically with Incapital for certain purposes. Please do not use this facility to attempt notice of any time-sensitive or legally significant event, request or instruction. Incapital assumes no responsibility or liability for any actions taken or any omissions to take action as a result of any such electronic communications. Moreover, such communications may not be secure. Consequently, you should not transmit confidential or related information through such communications.
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