U.S. Persons

A ‘U.S. Person‘ is defined as one who is permanently resident inside the USA. The SEC’s interpretation of U.S. federal securities laws limits Non U.S. Broker-Dealers such as our Parent Company to working with those permanently resident outside the USA. Non U.S. broker-dealers cannot approach and/ or solicit U.S. resident persons because an Internet Web site is interpreted by the SEC as being the same as a telephone call to a client.

Non U.S. broker-dealers, such as Investors Europe Mauritius, maintaining an Internet Web site can thus only accept a U.S. person if he or she has not been solicited either directly or indirectly through accessing their web sites under the ‘unsolicited’ exemption Rule 15a-6.

U.S. customers wanting to work with Non U.S. broker-dealers such as Investors Europe Mauritius can thus only approach Non U.S. broker-dealers under Rule 15a-6 if they have not been to their web sites and should be prepared to certify this fact in writing to ensure compliance with applicable law. They should also be prepared to certify in writing that they have not been solicited by the Group in any manner either directly or indirectly.

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