Compliance

Njord Securitites AS is a Norwegian securities firm subject to Finanstilsynets regulations. The company have the following concessions:

Act on securities § 2-1 (1) Investment services and investment activities

Number 1: reception and transmission of orders relating to one or more financial instruments.
Number 2: execution of orders on behalf of clients
Number 6: underwriting of financial instruments or placing of financial instruments on a firm commitment basis
Number 7: placing of financial instruments without a firm commitment basis

Act on securities § 2-6 (1) Ancillary services

Number 3: Advice to undertakings on capital structure, industrial strategy, and related matters, as well as advice and services relating to mergers and acquisitions of undertakings.
Number 5: Preparation and provision of investment recommendations, financial analyses or other forms of general recommendation relating to transactions in financial instruments.
Number 6: Services relating to underwriting.

The company may conduct the following cross-border services from Norway to a selection of countries without establishment.

Act on securities § 2-1 (1) Investment services and investment activities

Number 1: reception and transmission of orders relating to one or more financial instruments.
Belgium, Bulgaria, Denmark, Czech Republic, Estonia, Finland, France, Greece, Ireland, Iceland, Italy, Croatia, Cyprus, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, UK, Sweden, Germany, Hungary, and Austria.
Number 2: execution of orders on behalf of clients
Belgium, Bulgaria, Denmark, Czech Republic, Estonia, Finland, France, Greece, Ireland, Iceland, Italy, Croatia, Cyprus, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, UK, Sweden, Germany, Hungary, and Austria.

Act on securities § 2-6 (1) Ancillary services

Number 5: Preparation and provision of investment recommendations, financial analyses or other forms of general recommendation relating to transactions in financial instruments.
Denmark, Finland, Germany, Italy, Spain, Sweden, and United Kingdom