Markets & Regulation

UK Multilateral Trading Facility

OTCX UK MTF Regulatory Documentation

Regulatory Profile

Exemptions and equivalence across global jurisdictions

Group Policies and Procedures

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Legal Note

In the United States, any communications or services in respect of ‘securities’ (as that term is defined in Section 3(a)(10) of the U.S. Securities Exchange Act of 1934, as amended (“Exchange Act”)) are not directed at, or intended for use by, any persons or entities located in the United States, except for broker-dealers registered with the U.S. Securities and Exchange Commission (“SEC”) pursuant to Section 15(a) of the Exchange Act, or ‘U.S. Institutional Investors’ (“USII”) and ‘Major U.S. Institutional Investors’ (“MUSII”), as these terms are defined for purposes of SEC Rule 15a-6 (“Permitted US Persons”). Any communications relating to, or introductions to transactions in, securities involving Permitted U.S. Persons, other than SEC-registered broker-dealers, will be chaperoned through Global Alliance Securities, LLC, located at 2464 Darts Cove Way, Charleston (Mt. Pleasant), South Carolina 29466, a broker-dealer registered with the SEC, and a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”), FINRA CRD#:167164/SEC#8-69244, in accordance with the requirements of SEC Rule 15a-6, www.globalalliancesecurities.com.