Legal Disclosures

KingsRock Securities, LLC.

This message is intended only for use by the intended party and may contain information that is privileged and/or confidential. If you are not the intended recipient, then any review, dissemination, replication or distribution of this communication is strictly prohibited. If you have received this communication in error, please notify us immediately and delete this message and all attachments.

Electronic communications routed to any employee of KingsRock Securities, LLC (“KingsRock”) are for business purposes only. While messages are confidential, authorized management, legal and compliance personnel may review electronic messages. Electronic messages are also retained and would be provided upon request to an authorized regulatory body.

Information included in this email does not constitute a trade confirmation or an offer or solicitation of an offer to buy/sell securities. Past performance is not indicative of future returns.

Any attachment(s) to this electronic communication that was not prepared by KingsRock has been unaltered, and is in its original form. Any recommendation, opinion, or advice regarding securities or markets contained in any documentation that was not prepared by KingsRock does not necessarily reflect the views of KingsRock, and KingsRock does not verify any information included in such material. Lastly, KingsRock and/or its employees or affiliates may have an interest in, or from time to time trade or make markets in the securities (and/or related derivatives) of the issues discussed in any attachment annexed hereto.

Other Disclosures

NEW ACCOUNT POLICY, CUSTOMER IDENTIFICATION PROGRAM

In compliance with the USA PATRIOT Act and other applicable regulations and to help the government fight the funding of terrorism and money laundering activities, we are required to obtain, verify, and record information that identifies each customer who opens an account with us. We may be required to disclose this information pursuant to applicable laws, rules or regulations, but it will otherwise be retained in confidence according to our Privacy Policy.

Therefore, as part of the account opening process we will ask for a customer name, date of birth, street address, an identification number, such as a Taxpayer ID number (social security or employer identification number) and a driver’s license or other identifying documents.

For non-US citizens we will ask for a taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence and a photograph of you.

A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement. U.S. Department of the Treasury, Securities and Exchange Commission, FINRA, and New York Stock Exchange rules already require you to provide most of this information.

These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance. Your cooperation is greatly appreciated.

For Institutional Accounts

We understand that you may have opened an account as an institutional account as defined in FINRA Rule 4512(c). FINRA Rule 4512(c) defines an institutional account as (i) a bank, savings and loan association, insurance company, or registered investment company; (ii) 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 (iii) any other person (whether a natural person, corporation, partnership, trust or otherwise) with total assets of at least $50 million. In the event that you are not now, or ever cease to be, an “institutional account” as defined above, you must notify us in writing immediately.

BUSINESS CONTINUITY PLAN SUMMARY 

We have prepared, and always maintain a current Business Continuity Plan (“BCP”) in compliance with FINRA Rule 4370. This document outlines our plans to continue business and meet our existing obligations to customers in the event of a Significant Business Disruption (“SBD”). Our BCP is summarized below:

Our firm’s policy is to respond to a SBD by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. We will make every reasonable effort to meet our obligations to customers at all times.

Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm’s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems, especially on the capabilities of our third-party vendors and counterparties.

In the event that we determine we are unable to continue the normal conduct of our business, due to any of the scenarios described above, or any other circumstances, we will enact our BCP in order to assure customers prompt access to their funds and securities. Our BCP outlines the back-up facilities and arrangements that will be utilized in these circumstances.

We will make every reasonable effort to continue the conduct of business during any SBD, employing the use of our BCP. We plan to continue the conduct of business during any SBD unless circumstances prohibit us from doing so.

If, for any reason, at any time, we are forced by circumstances outside our direct control to discontinue business, we will immediately determine our planned recovery time and communicate those plans to all concerned parties.

Our BCP is subject to modification, update, and improvement at any time so that we may constantly assure ourselves, our customers, and any other concerned party of our readiness to confront an SBD.

Security

We are committed to providing a safe and secure online environment. To that end, we maintain physical, electronic and procedural safeguards to protect information, which comply with all applicable laws. We require independent contractors and other third parties who work with us to adhere to strict privacy standards through their contracts with us.

What we do with your personal information

KingsRock is committed to safeguarding the private information entrusted to us by our clients and visitors. We only use your information for the purposes of KingsRock. We do not sell, trade, or pass on your details to any third-party organizations.

How you can update your personal information

You may update personal information that you submitted to us by contacting us directly.

Links to other websites

KingsRock does not take responsibility for collection of personal information via other websites for which a link is provided on this website. You should refer to the privacy statements for those websites.

Effective date

This privacy statement has been in effect since September 2023. We reserve the right to change this statement. Any revision to this statement will be effective as of the date of posting.

Client Concerns

Any inaccuracy or discrepancy in an account or transaction should be reported immediately to the Chief Compliance Officer or the Chief Executive Officer. Concerns may be directed to the Chief Compliance Officer at 477 Madison Avenue, 5th Floor, New York, New York, 10022 or by email at info@kingsrock.com.

FINRA Website – BrokerCheck

FINRA BrokerCheck allows investors to learn about the professional background, business practices and conduct of FINRA member firms or their brokers. Visit the FINRA website at www.finra.org and look for “BrokerCheck” or call 1.800.289.9999. A FINRA investor brochure is also available upon request.

Securities Investor Protection Corp. (SIPC)

KingsRock is a member of SIPC, which protects securities of customers of its members up to $500,000 (including $250,000 for claims of cash) per client as defined by SIPC rules.

SIPC provides protection in the event of a member firm failure and does not insure against market decline. Further details of the protection provided by

SIPC is available at www.sipc.org or by calling 202.371.8300.
SIPC may be contacted by phone, email or regular mail:
Securities Investor Protection Corporation
805 15th Street, N.W. Suite 800
Washington, D.C. 20005-2215

Website Disclaimer

The material on this website has been prepared by KingsRock Securities, LLC, a U.S.-registered broker-dealer. This material is provided for informational purposes only and is not an offer or solicitation of any investments or investment services. Not all investments or investment services described are available in all US states or to all customers.

Privacy Policy

KingsRock Securities, LLC

Maintaining your trust and confidence is a high priority. We recognize that protecting the privacy and security of our customers is an important responsibility. That’s why we want you to understand how we protect your privacy when we collect and use information about you, and the steps that we take to safeguard that information. This notice is provided to you on behalf of KingsRock Securities, LLC (“KingsRock”).

Information We Collect

In connection with providing you with investment products, financial advice or other services, we obtain nonpublic personal information about you, including:

  • Information we receive from you on applications, in person, by telephone, electronically or by any other means, such as your name, address, social security number, assets, debt and income.

  • Information about your transactions with us or others, including your financial advisor; and

  • Information from credit or service bureaus or other third parties.

Information We Disclose

We will not disclose information regarding you or your account with us except under the following circumstances:

  • To your financial advisor and his or her manager;

  • To establish or maintain an account with an unaffiliated third party, such as a clearing broker providing services to you and/or KingsRock, or to service your account as authorized;

  • To government entities or other third parties in response to subpoenas or other legal process as required by law;

  • To our affiliated companies as permitted by law; and

  • To companies that perform marketing services on our behalf, or to other financial institutions with whom we have joint marketing agreements, that are restricted from disclosing your personal information except as permitted by law.

Our Security Policy

Only those individuals who need it to perform their jobs are authorized to have access to confidential client information. We maintain physical, electronic, and procedural security measures that comply with applicable state and federal regulations to safeguard confidential client information.

Closed or Inactive Accounts

If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.

Changes to this Privacy Policy.

If we make any substantial changes in the way we use or disseminate confidential information, we will notify you. If you have any questions concerning this Privacy Policy, please write us at:
KingsRock Securities, LLC
477 Madison Avenue
5th Floor
New York, NY 10022
Phone: […]
E-mail: info@kingsrock.com

BUSINESS CONTINUITY PLAN SUMMARY

KingsRock Securities, LLC

We have prepared, and always maintain a current Business Continuity Plan (“BCP”) in compliance with FINRA Rule 4370. This document outlines our plans to continue business and meet our existing obligations to customers in the event of a Significant Business Disruption (“SBD”). Our BCP is summarized below:

Our firm’s policy is to respond to a SBD by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. We will make every reasonable effort to meet our obligations to customers at all times.

Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm’s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems, especially on the capabilities of our third-party vendors and counterparties.

In the event that we determine we are unable to continue the normal conduct of our business, due to any of the scenarios described above, or any other circumstances, we will enact our BCP in order to assure customers prompt access to their funds and securities. Our BCP outlines the back-up facilities and arrangements that will be utilized in these circumstances.

We will make every reasonable effort to continue the conduct of business during any SBD, employing the use of our BCP. We plan to continue the conduct of business during any SBD unless circumstances prohibit us from doing so.

If, for any reason, at any time, we are forced by circumstances outside our direct control to discontinue business, we will immediately determine our planned recovery time and communicate those plans to all concerned parties.

Our BCP is subject to modification, update, and improvement at any time so that we may constantly assure ourselves, our customers, and any other concerned party of our readiness to confront an SBD.

 
 
 

UK DISCLOSURE

KingsRock Advisors UK Ltd is a private limited company registered in England and Wales with registration number 15240371. Its registered address is at 71-75 Shelton Street, Covent Garden, London, WC2H 9JQ. 

KingsRock Advisors UK Ltd (FRN 1006329) is an Appointed Representative under Bluegrove Capital Management Ltd (FRN: 960363), which is authorised and regulated by the Financial Conduct Authority.