REGULATORY

Regulatory Disclosure - Validus Group

The Validus Group is committed to maintaining the highest standards of regulatory compliance and transparency. As a regulated financial services provider, we adhere to strict oversight by various global regulatory bodies. Our regulatory status and authorisations within the Validus Group include:

Validus Risk Management Limited (VRM)

• VRM is incorporated with the Companies House under the laws of England and Wales with registered address, Parkside, 33-39 Sheet Street, Windsor, England, SL4 1BY with registration number 07140753.
• VRM is registered with the following regulators:
  • Financial Conduct Authority (reference number 555972) as a MIFIDPRU investment firm. VRM provides hedge advisory and execution services to clients.
  • Commodity Futures Trading Commission and National Futures Association (ID number 0504990) as a commodity trading advisor to provide hedge advisory and execution services to clients.
  • Commission de Surveillance du Secteur Financier (CSSF) to provide investment services in Luxembourg on a cross border basis under CSSF’s ‘national regime’ for third-country firms. VRM has been approved by the CSSF to provide investment and ancillary services only to Luxembourg based ‘Per Se Professional Clients’ and ‘Eligible Counterparties’. For the avoidance of doubt, VRM is not subject to supervision in the European Union, but is subject to supervision in the United Kingdom by the FCA, whose address is at 12 Endeavour Square, London E20 1JN. 

Validus Europe AS (VEAS)

• VEAS is incorporated with Brønnøysund under the laws of Norway with registered address, Slemdalsveien 70A, 0370, Oslo, Norway, with registration number, 930 508 829.
• VEAS has a branch in Italy with registration number,
• VEAS is registered with the:
• Financial Supervisory Authority of Norway (Finanstilsynet) as an investment advisor permitted to provide hedge advisory and execution services to clients in the European Economic Area.

Validus NA Inc. (VNA)

• VNA is incorporated under the laws of the Province of Ontario with registered address, Suite 302, 55 University Avenue, Toronto, Ontario, M5J 2H7, Canada, with registration number, 921945-5.
• VNA is registered with the following regulators:
• Ontario Securities Commission as a portfolio manager, investment fund manager, exempt market dealer and a commodity advisor to provide investment advice, manage investment portfolios and execution services.
• Autorité des marchés financiers in Quebec as a portfolio manager, investment fund manager and derivative portfolio manager.

 Validus USA Inc. (VUS)

• VUS is incorporated under the laws of Delaware with registered address, 110 West 40th Street, Suite 1901, New York, NY 10018, USA , with registration number, 5341919.