OUR FIRM Compliance The Compliance department manages and provides guidance to the organization on compliance, regulatory and reputational risks and ensures adherence to laws, rules and regulations. Compliance with the law is critical for how we conduct our daily business and for maintaining the trust of our stakeholders. Our compliance framework forms the basis for all our decisions and is key to the integrity of our business. On this page you will find regulatory information pertaining to Pareto Securities. TERMS AND CONDITIONS Pareto Securities AS is authorized as an investment firm and is under supervision by the Norwegian Financial Supervisory Authority (Finanstilsynet). Pareto Securities AB is supervised by the Swedish Financial Supervisory Authority (Finansinspektionen) and holds the licenses as an investment firm to conduct business in accordance with the Swedish Securities Markets Act (2007:528). Pareto Securities Oy is supervised by the Financial Supervisory Authority of Finland (FIN-FSA). For more information, please see the country specific documents with regards to the services offered in these countries. Terms and conditions CONFLICTS OF INTEREST The structure and activities of the Pareto Securities Group shall at all times be organized in such a way that the risk of conflicts of interest between Pareto and its clients, as well as between the clients of Pareto, are minimised. For more information, please see our conflict of interest policy. Conflicts of Interest Policy DISCLAIMERS AND DISCLOSURES Please find the latest version of our disclaimers and disclosures. Disclaimer and legal disclosures Disclaimer - project finance reports Disclaimer - investorweb Disclosures project finance Risk and explanation investing in project finance structures Research history FINANCIAL INFORMATION Pareto Securities is required to disclose certain financial information. Such information is available here. Financial Information – Norway Financial Information – Sweden ORDER EXECUTION When executing, receiving or transmitting orders on the behalf of our clients, Pareto Securities will take all sufficient steps to attain the best possible results. For more information, please see our order execution policy and order execution summary. Order Execution Policy Order Execution Summary Venues professional equities Brokers professional equities Venues retail equities Brokers retail equities Venues professional bonds Venues retail bonds VENUES The Pareto Securities group provides trading on different venues. In addition to the member venues listed below, we offer trading on a wide spectre of other venues, broker- and dark pools through third party vendors. Contact your local broker for more information. Norway Pareto Securities AS is a member of the following venues: Oslo Stock Exchange Oslo Axess Nasdaq Nordic Xetra Chi-X BATS Spotlight Turquoise NGM Sweden Pareto Securities AB is a member of the following venues: Nasdaq OMX Stockholm derivatives market Pareto Securities AB is not a direct member of any other regulated market or a multilateral trading facility. Instead, it uses Direct Market Access through the Pareto Group in the trading venues listed above. When Pareto Securities AB gives an order for execution in a trading venue in which Pareto Group is not a market participant, Pareto Securities AB endeavour to make sure that the best possible result is achieved for the client. Finland Pareto Securities Oy is not a direct member of a regulated market or a multilateral trading facility. Instead, it uses Direct Market Access and brokers of the Pareto Group for the execution of client orders in the trading venues listed above. When Pareto Securities Oy gives an order for execution by another broker in a trading venue in which Pareto Group is not a market participant, Pareto Securities Oy endeavours to make sure that the best possible result is achieved for the client. United Kingdom Pareto Securities Ltd is a member of the following venues: London Stock Exchange Pareto Securities Ltd has entered into an Introducing Broker agreement with Pareto Securities AS. Orders received from Clients in relation to financial investments will be transmitted to Pareto Securities AS (Norway) for execution through the Pareto Securities Group trading platform, as well as via The Pareto Securities Group dealing desk. When Pareto Securities Ltd gives an order for execution in a trading venue in which Pareto Group is not a market participant, Pareto Securities Ltd endeavour to make sure that the best possible result is achieved for the client. COMPLAINTS All complaints must be in writing and may be forwarded by e-mail to compliancedepartment@paretosec.com or by mail to our respective offices mentioned below. You will find our internal complaint procedures here. Norway Pareto Securities AS Att: Compliance P.O. Box 1411 Vika N-0115 Oslo Norway Our clients may also free of charge forward to complaints to Norwegian Securities Dealers Association’s Ethics council (page only available in Norwegian). Sweden Pareto Securities AB Att: Compliance P.O. Box 7415 SE-1Q3 91 Stockholm Sweden Clients who are consumers can obtain advice from the Swedish Consumers’ Banking & Finance Bureau as well as through the municipal consumer guidance. In order to have a case examined independently and free of charge, clients can contact the National Board for Consumer Disputes (ARN) or a public court of law. Complaints must be submitted to ARN within six months from the date Pareto Securities AB first fully or partially rejected the client’s claim. ARN provides recommendations on how disputes between clients and securities institutions should be resolved. For more information, go to www.arn.se. Finland Pareto Securities Oy Att: Compliance Aleksanterinkatu 44, 3rd floor F-00100 Helsinki Finland The Finnish Financial Ombudsman Bureau (FINE) provides advisory services to private individuals and small enterprises in problem situations relating to the banking, insurance and securities sectors. The Finnish Insurance, Banking and Securities Complaints Boards operate in connection with FINE. The Complaints Boards issue recommendations on disputes in their respective fields. Services are free of charge. For more information, go to www.fine.fi. TIED AGENTS Pareto Securities does not currently have any tied agents. OUR FIRM Who we are Responsibility Management Compliance Career Terms of use Cookie Statement Global Privacy Notice © Copyright Pareto Securities AS 2021 CLIENT LOGIN