Lombard Odier Investment Managers

 

Legal information about our legal entities:

France: Lombard Odier Funds (Europe) S.A. – French Branch, 8, rue Royale, 75008 Paris, France. Téléphone +33 (0)1 49 26 46 00 · Fax +33 (0)1 49 26 47 20. SIRET 844 250 563 00021, TVA intracommunautaire FR 27 844250563. Immatriculée au registre du commerce et des sociétés de Paris sous le n° 844 250 563. Succursale française de Lombard Odier Funds (Europe) S.A., une société immatriculée au Luxembourg sous le numéro B152886 dont le siège social se situe au 291, route d’Arlon, L-1150 Luxembourg, soumise à la réglementation et à la surveillance de la Commission de Surveillance du Secteur Financier au Grand-Duché de Luxembourg.

Germany: Lombard Odier Funds (Europe) S.A. - German Branch, Reuterweg 49, 60323 Frankfurt am Main, Deutschland. Telefon +49 (0)69 71048 8400 · Fax +49 (0)69 71048 8444. In das Handelsregister des Amtsgerichts Frankfurt am Main unter HRB 114261 eingetragen. Lombard Odier Funds (Europe) S.A. - German Branch ist bei der BaFin unter der Nummer 155410 registriert. Lombard Odier Funds (Europe) S.A. – German Branch ist eine Zweigniederlassung der Lombard Odier Funds (Europe) S.A., mit Sitz im Grossherzogtum Luxemburg, registriert unter No. B152886, Geschäftsanschrift unter 291, route d’Arlon, L-1150 Luxemburg, im Grossherzogtum Luxemburg von der Commission de Surveillance du Secteur Financier zugelassen und überwacht. Lombard Odier Funds (Europe) S.A. Aufsichtsrat besteht aus fünf Mitgliedern: Julien Desmeules, Mark Edmonds, Francine Keiser, Alexandre Meyer und Patrick Zurstrassen, der Verwaltungsratspräsident.

Hong Kong: Lombard Odier (Hong Kong) Limited. 3901, Two Exchange Square - 8 Connaught Place - Central, Hong Kong

Italy: Lombard Odier Funds (Europe) S.A. - Italian Branch, Via Santa Maria Segreta 7, 20123 Milano, Italia. Telefono +39 02 30314 600 · Fax +39 02 30314 660. Codice Fiscale 10576650963, Partita IVA 10576650963. Iscritta al Registro delle Imprese di Milano (No. 10576650963), R.E.A. No. MI – 2542516. Iscritta al Registro della Banca d’Italia con codice meccanografico 23951. Lombard Odier Funds (Europe) S.A., società costituita nel Granducato del Lussemburgo con No. B152886, con un capitale emesso e versato di EUR 2’810'205.- sede legale in 291, route d’Arlon, L-1150 Lussemburgo, autorizzata e controllata  dalla Commission de Surveillance du Secteur Financier nel Granducato del Lussemburgo

Luxembourg: Lombard Odier Funds (Europe) SA is authorised and supervised by the Commission de Surveillance du Secteur Financier (the “CSSF”) registered in the Luxembourg Trade and Companies Register under number B152886 with its registered office at 291, route d'Arlon L-1150 Luxembourg.

Netherlands: Lombard Odier Funds (Europe) S.A. - Dutch Branch (Amsterdam), NoMA House · Gustav Mahlerlaan 1212 · 1081 LA Amsterdam · Nederland · Telefoon +31 (0)20 85 46 090 · Fax +31 (0)20 85 46 051. Handelsregisternummer 73349526. Vestigingsnummer 000041398114. BTW nummer NL 859477320B01. Lombard Odier Funds (Europe) S.A. - Dutch Branch (Rotterdam), Weena 750   3014 DA Rotterdam   Nederland · Telefoon +31 (0)10 79 99 600 · Fax +31 (0)10 79 99 601, Handelsregisternummer 73349526. Vestigingsnummer 000044921462. BTW nummer NL 859477320B01. Lombard Odier Funds (Europe) S.A. – Dutch Branch (Amsterdam) and Lombard Odier Funds (Europe) S.A. – Dutch Branch (Rotterdam) are registered with the Autoriteit Financiële Markten as branch offices of Lombard Odier Funds (Europe) S.A., a company established in the Grand Duchy of Luxembourg, with registration No. B152886, with its registered office at 291, route d’Arlon, L-1150 Luxembourg, authorised and supervised in the Grand Duchy of Luxembourg by the Commission de Surveillance du Secteur Financier. 

Singapore: Lombard Odier (Singapore) Ltd. 9 Raffles Place, #46-02 Republic Plaza, Singapore

Switzerland: Lombard Odier Asset Management (Switzerland) is authorised and regulated by the Swiss Financial Market Supervisory Authority (FINMA) with its registered office at 6, av. des Morgines, 1213 Petit-Lancy.

United Kingdom: Lombard Odier Asset Management (Europe) Limited is authorised and regulated by the Financial Conduct Authority. Registered in England and Wales no. 07099556 with its registered office at Queensberry House, 3 Old Burlington Street, London W1S 3AB.

 

Legal information about our products:

The Fund is authorised and regulated by the Luxembourg Supervisory Authority of the Financial Sector (CSSF) as a UCITS within the meaning of EU Directive 2009/65/EC, as amended. The management company of the Fund is Lombard Odier Funds (Europe) S.A. (hereinafter the “Management Company”), a Luxembourg based public limited company (SA), having its registered office at 291, route d’Arlon, L-1150 Luxembourg, authorized and regulated by the CSSF as a Management Company within the meaning of EU Directive 2009/65/EC, as amended. The Fund is only registered for public offering in certain jurisdictions. The articles of association, the prospectus, the Key Investor Information Document, the subscription form and the most recent annual and semi-annual reports are the only official offering documents of the Fund’s shares (the “Offering Documents”). They are available on http//:www.loim.com or can be requested free of charge at the registered office of the Fund or of the Management Company, from the distributors of the Fund or from the local representatives as mentioned below.

Important legal disclosures, including information required under local law to be provided about those entities domiciled in your country:

Austria. Supervisory Authority: Finanzmarktaufsicht (FMA), Representative: Erste Bank der österreichischen Sparkassen AG, Am Belvedere 1, 1100 Vienna – Belgium. Supervisory Authority: Financial Services Provider: CACEIS Belgium S.A.,Avenue du Port 86C, b320, 1000 Brussels – France. Supervisory Authority: Autorité des marchés financiers (AMF), Representative: CACEIS Bank, place Valhubert 1-3, F-75013 Paris – Germany. Supervisory Authority: Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin), Representative: DekaBank Deutsche Girozentrale, Mainzer Landstraße 16, D-60325 Frankfurt am Main – Gibraltar. Supervisory Authority: Gibraltar Financial Services Commission (GFSC), Information agent: Lombard Odier & Cie (Gibraltar) Limited, Suite 921 Europort – Greece. Supervisory Authority: Hellenic Capital Market Commission. Paying agent: PIRAEUS BANK S.A. ,4, Amerikis Str., 105 64, Athens – Hong Kong. This marketing material has been approved for use by Lombard Odier (Hong Kong) Limited, a licensed entity regulated and supervised by the Securities and Futures Commission in Hong Kong for the general information of professional investors and other persons in accordance with the Securities and Futures Ordinance (Chapter 571) of the laws of Hong Kong. – Italy. Supervisory Authority: Banca d’Italia (BOI) / ConSob, Paying Agents: Société Générale Securities Services S.p.A., Via Benigno Crespi, 19/A - MAC 2, 20159 Milano, State Street Bank S.p.A. Via Ferrante Aporti, 10, 20125 Milano, Banca Sella Holding S.p.A., Piazza Gaudenzio Sella, 1, 13900 Biella, Allfunds Bank S.A., filiale italianaVia Santa Margherita 7, 20121 Milano, BNP Paribas Securities Services, With its registered office in Paris, rue d'Antin, 3, and operating via its Milan subsidiary at Piazza Lina Bo Bardi, 3, 20124 Milan, – Liechtenstein. Supervisory Authority: Finanzmarktaufsicht Liechtenstein (“FMA”), Representative, LGT Bank AG Herrengasse 12, 9490 Vaduz – Netherlands. Supervisory Authority: Autoriteit Financiële Markten (AFM). Lombard Odier Funds (Europe) S.A. – Dutch Branch (Amsterdam) NoMa House, Gustav Mahlerlaan 1212, 1081 LA Amsterdam, Netherlands – Spain. Supervisory Authority: Comisión Nacional del Mercado de Valores (CNMV). Representative: Allfunds Bank S.A. Calle Estafeta 6, La Moraleja, Alcobendas 28109, Madrid – Sweden. Supervisory Authoriy: Finans Inspektionen (FI). Representative: SKANDINAVISKA ENSKILDA BANKEN AB (publ), Kungsträdgårdsgatan, SE-106 40 Stockholm – Singapore. This marketing communication has been approved for use by Lombard Odier (Singapore) Ltd for the general information of accredited investors and other persons in accordance with the conditions specified in Sections 275 and 305 of the Securities and Futures Act (Chapter 289). Recipients in Singapore should contact Lombard Odier (Singapore) Ltd, an exempt financial adviser under the Financial Advisers Act (Chapter 110) and a merchant bank regulated and supervised by the Monetary Authority of Singapore, in respect of any matters arising from, or in connection with this marketing communication. The recipients of this marketing communication represent and warrant that they are accredited investors and other persons as defined in the Securities and Futures Act (Chapter 289). This advertisement has not been reviewed by the Monetary Authority of Singapore. – Switzerland. Supervisory Authority: FINMA (Autorité fédérale de surveillance des marchés financiers), Representative: Lombard Odier Asset Management (Switzerland) SA, 6 av. des Morgines, 1213 Petit-Lancy; Paying agent: Bank Lombard Odier & Co Ltd, 11 rue de la Corraterie, CH-1204 Geneva. – UK. Supervisory Authority: Financial Conduct Authority (FCA), Representative: Lombard Odier Asset Management (Europe) Limited, Queensberry House, 3 Old Burlington Street, London W1S3AB.

NOTICE TO RESIDENTS OF THE UNITED KINGDOM The Fund is a Recognised Scheme in the United Kingdom under the Financial Services & Markets Act 2000. Potential investors in the United Kingdom are advised that none of the protections afforded by the United Kingdom regulatory system will apply to an investment in LO Funds and that compensation will not generally be available under the Financial Services Compensation Scheme. This document does not itself constitute an offer to provide discretionary or non-discretionary investment management or advisory services, otherwise than pursuant to an agreement in compliance with applicable laws, rules and regulations.

An investment in the Fund is not suitable for all investors. There can be no assurance that the Fund's investment objective will be achieved or that there will be a return on capital. Past or estimated performance is not necessarily indicative of future results and no assurance can be made that profits will be achieved or that substantial losses will not be incurred. Where the fund is denominated in a currency other than an investor's base currency, changes in the rate of exchange may have an adverse effect on price and income. All performance figures reflect the reinvestment of interest and dividends and do not take account the commissions and costs incurred on the issue and redemption of shares/units; performance figures are estimated and unaudited. Net performance shows the performance net of fees and expenses for the relevant fund/share class over the reference period. This document does not contain personalized recommendations or advice and is not intended to substitute any professional advice on investment in financial products. Before making an investment in the Fund, an investor should read the entire Offering Documents, and in particular the risk factors pertaining to an investment in the Fund, consider carefully the suitability of such investment to his/her particular circumstances and, where necessary, obtain independent professional advice in respect of risks, as well as any legal, regulatory, credit, tax, and accounting consequences. This document is the property of LOIM and is addressed to its recipient exclusively for their personal use. It may not be reproduced (in whole or in part), transmitted, modified, or used for any other purpose without the prior written permission of LOIM. It is not intended for distribution, publication, or use in any jurisdiction where such distribution, publication, or use would be unlawful. This document contains the opinions of LOIM, as at the date of issue. The information and analysis contained herein are based on sources believed to be reliable. However, LOIM does not guarantee the timeliness, accuracy, or completeness of the information contained in this document, nor does it accept any liability for any loss or damage resulting from its use. All information and opinions as well as the prices indicated may change without notice.. Neither this document nor any copy thereof may be sent, taken into, or distributed in the United States of America, any of its territories or possessions or areas subject to its jurisdiction, or to or for the benefit of a United States Person. For this purpose, the term "United States Person" shall mean any citizen, national or resident of the United States of America, partnership organized or existing in any state, territory or possession of the United States of America, a corporation organized under the laws of the United States or of any state, territory or possession thereof, or any estate or trust that is subject to United States Federal income tax regardless of the source of its income.

 

Important information on performance:

Past performance is not a guarantee of future results. Where the fund is denominated in a currency other than an investor's base currency, changes in the rate of exchange may have an adverse effect on price and income. All performance figures reflect the reinvestment of interest and dividends and do not take account the commissions and costs incurred on the issue and redemption of shares/units; performance figures are estimated and unaudited. Net performance shows the performance  net of fees and expenses for the relevant fund/share class over the reference period. Gross performance does not reflect the deduction of investment management fees. Individual client returns will be reduced by investment management fees and other expenses that the account may incur. Source of the figures: Unless otherwise stated, figures are prepared by LOIM.

Important information on benchmarks:

Any benchmarks/indices cited herein are provided for information purposes only. No benchmark/index is directly comparable to the investment objectives, strategy or universe of a fund. The performance of a benchmark shall not be indicative of past or future performance of any fund. It should not be assumed that the relevant fund will invest in any specific securities that comprise any index, nor should it be understood to mean that there is a correlation between such fund’s returns and any index returns.

 

Important information on portfolio composition:

The portfolio information provided in this document is for illustrative purposes only and does not purport to be a recommendation of an investment in, or a comprehensive statement of all of the factors or considerations which may be relevant to an investment in, the referenced securities. They illustrate the investment process undertaken by the manager in respect of a certain type of investment, but may not be representative of the Fund's past or future portfolio of investments as a whole and it should be understood that they will not of themselves be sufficient to give a clear and balanced view of the investment process undertaken by the manager or of the composition of the investment portfolio of the Fund. As the case may be, further information regarding the calculation methodology and the contribution of each holding in the representative account to the overall account’s performance can be obtained by the Fund or the Management Company.

The strategy may include the use of derivatives. Derivatives often involve a high degree of financial risk because a relatively small movement in the price of the underlying security or benchmark may result in a disproportionately large movement in the price of the derivative and are not suitable for all investors. No representation regarding the suitability of these instruments and strategies for a particular investor is made.

If the funds are denominated in a currency other than that in which the majority of the investor’s assets are held, the investor should be aware that changes in rates of exchange may affect the value  of the funds’ underlying assets. The portfolio risk management process includes an effort to monitor and manage risk, but does not imply low risk.

The Fund's investments in Fixed Income securities are subject to the risks associated with debt securities including economic conditions, government regulations, market sentiment, and local and international political events. In addition, the market value of fixed income securities will fluctuate in response to changes in interest rates, currency values, and the creditworthiness of the issuer. If an issuer’s financial condition worsens, the credit quality of the issuer may deteriorate making it difficult for an investor to sell such investments

A significant level of investment in debt securities or risky securities implies that the risk of, or actual, default may have a material impact on performance. The likelihood of this depends on the creditworthiness of the issuers.

Securities of issuers held by the Fund may lack sufficient market liquidity to enable the Fund to sell the securities at an advantageous time or without a substantial drop in price.

Models may be misspecified, badly implemented or may become inoperative when significant changes take place in the financial markets or in the organization. Such a model could unduly influence portfolio management and expose to losses.

Because of the smaller number of stocks held in the portfolio, the Fund may be subject to greater risks than a more diversified fund. A change in value of any single holding may affect the overall value of the portfolio more than it would affect a diversified fund that holds more investments.

Emerging markets securities may be less liquid and more volatile and are subject to a number of additional risks including, but not limited to, currency fluctuations and political instability.

Alternative investments often engage in leverage and other investment practices that are extremely speculative and involve a high degree of risk. Such practices may increase the volatility of performance and the risk of investment loss, including the loss of the entire amount invested. Alternative investments may themselves invest in instruments that may be highly illiquid and difficult to value. This may also limit your ability to redeem or transfer your investment or delay receipt of redemptionproceeds. We refer you to the offering materials for a more complete discussion of the risks relating to an investment in any particular alternative investment.

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