legal information.

legal information.


Please read the IMPORTANT INFORMATION below before proceeding, as it explains certain restrictions on the distribution of information available on this website (hereinafter the “Site”).

 

1. Lombard Odier website

This website is operated by Bank Lombard Odier & Co Ltd or another entity of the Lombard Odier Group and may be consulted for information purposes in relation to certain Group entities.


2. Access

Access to this Site is not permitted to any person in any jurisdiction (by way of domicile, residence, nationality, or otherwise) where the publication or availability of the Site would result in a violation of any applicable law or regulation. In particular, this Site is not intended for residents of the United States. If you are from such a jurisdiction, you are not authorized to proceed and must exit this Site immediately. If you are not from such a jurisdiction, you may proceed to the Site after reading and agreeing to the following terms and conditions.


3. Local restrictions

a. General

This Site does not constitute an offer or solicitation to sell stocks or units in mutual funds or other securities, or an offer to provide investment advisory services or other services referred to on this Site, to any person from a jurisdiction in which such an offer, solicitation, or distribution would be illegal, or in which the person making such offer or solicitation is not authorized to do so, or to any other person to whom it is illegal to make such offer or solicitation. Deposits may only be accepted by entities of Lombard Odier authorized to do so, and shall not be accepted from any investors in any jurisdiction in which such activity would violate local laws or regulations.

b. United States

Lombard Odier shall not provide the products and services described on this Site to US Persons, as defined under the United States Securities Act of 1933, as amended (hereinafter the "Securities Act"). The units or stocks described on the Site shall not be registered under the Securities Act or any other applicable United States securities laws (including, without limitation, any applicable law of any of the states of the United States). Such units or stocks may not be directly or indirectly offered or sold in the United States or any of its territories and possessions or areas subject to its jurisdiction or to or for the benefit of a US Person. By proceeding, you warrant that you are not a US Person.

c. United Kingdom

To the extent that any services, information, or opinions available on the Site are aimed at residents of the United Kingdom, such services, information, and opinions have been approved by Lombard Odier (Europe) S.A. UK Branch. The bank is authorized and regulated by the CSSF in Luxembourg and its branch in the UK by the Prudential Regulation Authority and the Financial Conduct Authority, 25 The North Colonnade, Canary Wharf, London E14 5HS. Registered in Luxembourg No. B169907. Lombard Odier (Europe) S.A. UK Branch does not provide tax advice. Persons or entities dealing with entities of Lombard Odier outside the United Kingdom may not be entitled to protection under UK legislation or compensation under the Financial Services Compensation Scheme.


4. Copyright

All material on the Lombard Odier website is protected by copyright, subject to any rights accruing to third parties. You may not reproduce (either in full or in part), transmit (electronically or by any other means), alter, create a link to, or use the website for public or commercial use of any kind without the written permission of Lombard Odier.


5. No reliance/no representation or warranty

The information made available on the Site has been prepared by Lombard Odier, which has used all reasonable care to ensure that it is fair, accurate, and complete. Lombard Odier makes no representation or warranty, either express or implied, as to the accuracy, completeness, or fitness for any purpose or use of such information whatsoever.

Lombard Odier cannot guarantee that the information found on the Site has not been distorted as a result of technical malfunctions (disconnection, interference by third parties, viruses, etc.)

Nothing contained in the Site shall be construed as constituting specific investment, legal, tax, or other advice. The information or opinions contained therein have no relevance to the specific investment objectives, financial situation, or particular needs of any individual recipient of said information. You are advised to obtain specific, personal, and appropriate professional advice before making any investment decision. The information and opinions contained in the Site are provided for personal and informational purposes only and are subject to change without notice.

The value of investments in any securities, derivative products, shares, or mutual funds may go down as well as up, and, as a result, the investor may not get back the amount originally invested. Past performance is no guarantee of future performance.


6. Material interest

Lombard Odier and/or its partners, directors, officers, and employees may have or may have had an interest or positions in, or may, as market makers, trade or have traded in the securities described on the Site. Furthermore, such entities or persons may have or may have had a seat on the boards of the companies issuing such securities.


7. Limitation of liability

To the extent permitted by law, Lombard Odier shall not be liable, including in the case of negligence, for any loss or damage howsoever caused, including but not limited to any direct, indirect, or consequential loss or damage, arising out of or related to the access to, use of, browsing in, or downloading from the Site or any other site linked thereto.

With the exception of entities based in Switzerland, the various entities of Lombard Odier have their own separate legal personality and provide their services in their own name and exclusively at their own risk.


8. Linked websites

The Site may contain links to other websites controlled or offered by third parties. Lombard Odier has not reviewed any of these linked websites, and makes no representation or warranty in respect of information or material available there. In linking a third-party website to the Site, Lombard Odier neither assumes nor accepts any responsibility or liability whatsoever in respect of products or services offered on such website.


9. No offer

Nothing contained on this Site constitutes an offer or part offer to provide asset management or advisory services, either on a discretionary or non-discretionary basis, other than under the terms of an agreement that accords with applicable laws and regulations. No information contained on this Site shall be deemed to constitute an invitation to subscribe for or otherwise acquire securities, derivative products, or units in mutual funds.


10. Mutual funds

The Site contains information on a large number of mutual funds registered and managed in different jurisdictions. You shall be required to inform us about your place of residence before you may access any specific information on such funds. Consequently, your access will be limited to the funds registered for sale in your country of residence.


11. Contacts by e-mail and Skype

This Site allows you to contact Lombard Odier by e-mail or via the Skype telephone system. As such communications use the Internet, a public network over which Lombard Odier has no control, they may be intercepted, altered, or lost. Lombard Odier disclaims all liability in respect thereof.


12. Applicable law

Use of the Site shall be subject to Swiss law, which shall exclusively govern the interpretation, application, and effect of all the conditions of use set out above. The courts of Geneva shall have exclusive jurisdiction over all claims or disputes arising out of or in connection with the Site and its use.

regulatory requirement for legal entity clients.

A standard for Legal Entity Identification (LEI) was developed by the International Organisation for Standardisation (ISO) after the global financial crisis. The purpose being enhanced transparency in financial markets that will allow the monitoring of systemic risks. Various regulations since this date, including MiFID II, EMIR and FMIA, have now made it a requirement for investment firms to include legal entity clients LEIs in their trade reports to competent authorities. As a result, legal entity clients will be required to obtain an LEI.

An LEI can be requested by all legal entities including but not limited to legal companies including legal subsidiaries, municipal corporate entities, government departments, funds, partnerships, trusts and charities. For more information about LEIs please refer to the Lombard Odier LEI FAQ. Please refer to the GLEIF website: https://www.gleif.org/en/lei-focus/how-to-get-an-lei to obtain and / or renew an LEI.

 

Lombard Odier’s Legal Entities and Legal Entity Identifiers (LEIs) are as follows:

 

Registered name LEI
Lombard Odier (Europe) S.A.  549300ZOE0EU2VKF6M35
Banque Lombard Odier & Cie SA 4BY1ZWG5DYMF1HP5KL86
Lombard Odier & Cie (Gibraltar) Limited 549300E2FDLN8Y0QI242
Lombard Odier (Hong Kong) Limited 549300Z2PHEWOJB2SE83
Lombard Odier (Singapore) Ltd. 5493008V7RCLD02Z2B97
Lombard Odier Gestion (España) SGIIC SAU 549300ZOXJ14Q561ZZ67

 

legal entity identification. faq

What is a Legal Entity Identifier?

A LEI is a unique identification number that links parties to financial transactions. The identifier is designed to help regulators measure and monitor systemic risk by identifying the parties involved in financial transactions quickly and consistently, and through this, obtain an accurate view of their global exposure. As a code in a global data system, the LEI enables legal entities party to transactions to be identified in any jurisdiction. Furthermore, the LEI links back to a data set of critical information about the transacting entity, which can also include information on the ultimate ownership of the entity. The LEI is a 20 character, alphanumeric code that enables unique identification of entities participating in global financial markets. The LEI is based on the ISO standard 17442 developed by the International Organisation for Standardisation.


Who can obtain a LEI?

An LEI can be requested by all legal entities including but not limited to legal companies including legal subsidiaries, municipal corporate entities, government departments, funds, partnerships, trusts and charities.

The term "legal entity" includes, but is not limited to, unique parties that are legally or financially responsible for the performance of financial transactions or have the legal right in their jurisdiction to enter independently into legal contracts, regardless of whether they are incorporated or constituted in some other way (e.g. trust, partnership, contractual). It excludes natural persons, but includes governmental organisations and supranationals.


How to get a LEI?

Information on how to obtain a LEI can be found via the following link:
https://www.gleif.org/en/lei-focus/how-to-get-an-lei


Third parties on an account?

A valid LEI is required for any third party entity that has authority to instruct transactions on an account.


Do physical persons also need to obtain a LEI?

No; LEIs are only issued for legal entities.


Is the registration fee for a LEI a one-time fee or must it be renewed?

There is both an initial registration fee and an annual maintenance fee. Please refer to the relevant Local Operating Unit for further information on costs.

 

IMPORTANT INFORMATION
This document is issued by Bank Lombard Odier & Co (Switzerland) and concerns all entities of the Lombard Odier Group. It is not intended for distribution, publication, or use in any jurisdiction where such distribution, publication, or use would be unlawful, nor is it aimed at any person or entity to whom it would be unlawful to address such a document. This document is provided for information purposes only. It does not constitute and cannot be considered as legal advice.
United States: Neither this document nor any copy thereof may be sent, taken into, or distributed in the United States or given to any US person.
This document may not be reproduced (in whole or in part), transmitted, modified, or used for any public or commercial purpose without the prior written permission of Lombard Odier.
© 2017 Lombard Odier Group – all rights reserved.