Disclaimer
We provide our services in relation to the AlphaNotes structured notes programs (the “AlphaNotes Programs”) through different entities that perform distinct activities. Among these entities are AlphaNotes Financial Products Ltd (“AlphaNotes Financial Products”), which acts as Calculation Agent, and Arranger/Program Coordinator, and AlphaNotes USA LLC (“AlphaNotes USA”), which provides management and administration services to AlphaNotes Financial Products. Before making a decision to invest in Notes (as defined below), you should consider the following:
Independent Entities. AlphaNotes Financial Products and AlphaNotes USA are not managers of the special purpose vehicles, collectively (the “Issuers”), responsible for the issuance of Reg. S notes to non-US accredited investors under the AlphaNotes Programs (the “Notes”). The business and activities of each company are different, although all of them are interdependent and necessary for the AlphaNotes Programs.
Coordinated Activities. AlphaNotes Financial Products and AlphaNotes USA may conduct activities in coordination with the different entities participating in the AlphaNotes Programs (e.g. the Issuers, asset managers, investment vehicles, issue and paying agent, auditor, trustee and legal counsel of each). However, each of the entities that participates in the AlphaNotes Programs is responsible for its own duties and activities in the process.
Not Broker-Dealer or Investment Adviser. Neither AlphaNotes Financial Products nor AlphaNotes USA is a U.S. registered broker-dealer or an investment adviser registered with the U.S. Securities and Exchange Commission. Our entities do not raise capital for clients or the Issuers. We do not solicit any specific products, nor offer investment advice or make investment recommendations, nor do we offer tax, legal, financial advice or otherwise.
