Disclosures and Legal Documents

Vontobel Securities AG, an SEC registered US broker dealer and FINRA member, in its normal course of business may use its affiliate, Bank Vontobel, to fulfill certain obligations. Bank Vontobel Ltd. is a Swiss Bank with its Head Office and legal domicile in Switzerland. It is authorized and regulated by the Swiss Financial Market Supervisory Authority (FINMA).

Since Bank Vontobel AG may provide services to you or your client, these terms and conditions may have a direct impact on how transactions are handled and/or executed.

Vontobel Securities is also a subsidiary of Vontobel Group Holdings. As such, certain overall Group directives are also directly applicable to any business partnership with Vontobel Securities as well as any other affiliate company. For ease of reference, policies that may be relevant to your continued business and relationship with Vontobel Securities are accessible through the links below:

Terms of Business (PDF)

Best Execution Policy (PDF)

* Please note that we will treat you as a Professional client and as such, this policy shall be applicable.

Conflict of Interest Policy (PDF)

Any questions or concerns may be directed to compliance@vonsec.com