Regulatory Information

1. Who we are

MT Capital Markets Ltd, trading as RockLake Capital, is a company incorporated in the Cayman Islands (company number CR-345892) and regulated by the Cayman Islands Monetary Authority (CIMA) under CIMA reference number 1716643 (Securities - Full, status effective 4 June 2021). Legal Entity Identifier (LEI): 549300JL2S1VTUOFHY94. Registered office: Artemis House, 67 Fort Street, George Town, Grand Cayman KY1-1111, Cayman Islands.

2. Company details

• Legal name: MT Capital Markets Ltd
• Trading as: RockLake Capital
• Company number: CR-345892 (Cayman Islands Registry of Companies)
• Regulator: Cayman Islands Monetary Authority (CIMA), CIMA reference number 1716643 (Securities - Full, status effective 4 June 2021)
• Legal Entity Identifier (LEI): 549300JL2S1VTUOFHY94
• Registered office: MT Capital Markets Ltd, Artemis House, 67 Fort Street, George Town, Grand Cayman KY1-1111, Cayman Islands
• Contact: ir@rocklakecapital.com

3. Our European entity

MT Capital is a separate legal entity, registered in Luxembourg, that works alongside MT Capital Markets Ltd. It allows us to serve investors in more than one country and to work with clearing and settlement providers internationally. It has its own registration and its own Legal Entity Identifier.

The CIMA number shown above relates to MT Capital Markets Ltd. The entity that is party to any agreement with you is named in that agreement.

• Legal name: MT Capital (Société civile)
• Registration: Luxembourg Trade and Company Register, number E 9.114
• Legal Entity Identifier (LEI): 648800O7SUDZT6WBRY67
• Registered office: MT Capital, 2 Domaine Kierchepad, 3357 Leudelange, Luxembourg

4. What regulation does and does not mean

We are subject to supervision by the Cayman Islands Monetary Authority (CIMA). Regulation does not mean that the regulator has approved or endorsed any product on the Platform, assessed its merits, guaranteed its performance, or protects you against investment loss. You can check our regulatory status with the regulator directly.

5. Who this is for

Our services are offered by invitation only, and only to persons who self-certify as High Net Worth, Sophisticated or Professional investors. What those terms mean, and whether you qualify, varies by country and region, and you must meet the test that applies where you are resident. They are not offered to the general retail public, and nothing on this website constitutes a public offer. Nothing on this website is an offer or solicitation to anyone in a jurisdiction where such an offer would be unlawful, or to any person to whom it would be unlawful to make it.

6. Self-certification

Self-certification is a declaration you make about your own status. We review it alongside the rest of your application, but you remain responsible for its accuracy. Giving a false declaration may lead us to close your account and, where required, to report it.

7. Not available to US Persons

The Platform and the investments on it are not offered or available to US Persons. We do not market them in the United States, and nothing on this website is directed at anyone there.

“US Person” means any person who is, or who is treated as, any of the following: (a) a “U.S. person” within the meaning of Regulation S (Rule 902(k)) under the United States Securities Act of 1933; (b) a “United States person” within the meaning of section 7701(a)(30) of the United States Internal Revenue Code, which includes US citizens, US tax residents and green-card holders; (c) a person who is resident in, or located in, the United States when applying for an account or giving instructions; or (d) a person acting for, or for the benefit or account of, any of the above.

Because the Platform is not offered in the United States, US securities, investment-adviser and similar investor-protection regimes do not apply to your dealings with us. If you are a US Person, or become one, you must tell us, and we must restrict or close your account. If you visit this website from the United States, do not rely on it; contacting us does not create any relationship with you.

8. Other countries

We are regulated in the Cayman Islands. We are not authorised or regulated in any other country unless we say so. What may lawfully be offered to you, and what protections apply, depends on where you live. If you live in the United Kingdom, the European Economic Area, Canada, Australia, Asia or anywhere else, you are responsible for making sure that you may lawfully use the Platform and receive the information on it, and the local protections, ombudsman and compensation schemes of your country will generally not apply. We may decline to deal with you if we cannot lawfully do so.

9. Anti-money-laundering and sanctions

We are required by the anti-money-laundering and counter-terrorist-financing laws of the Cayman Islands to verify identity, understand source of funds and source of wealth, screen for politically exposed persons and sanctions, apply extra checks to higher-risk clients, and monitor accounts throughout the relationship. This is why we ask for identity documents and detailed information, and why we may ask for more later.

We comply with the sanctions regimes that apply to us and do not deal with sanctioned persons or in prohibited activities. We may delay, refuse, freeze or reverse a transaction, or close an account, where the law or our procedures require it. We may be required to report suspicious activity to the authorities, and the law may prohibit us from telling you that we have done so.

10. Tax reporting

We collect your country of tax residence and your US Person status so that we can meet our obligations under international tax information-exchange arrangements, including the United States FATCA regime and the OECD Common Reporting Standard as they apply in the Cayman Islands. We may be required to report information about you and your accounts to the relevant tax authorities, who may share it with the authorities of other countries. We do not give tax advice.

11. Not a bank, and no compensation scheme

Investments made through the Platform are not deposits. Do not assume that any deposit protection or investor compensation scheme applies to them; please check the offering documents of each product.

12. Your data

How we collect and use personal data is described in our Privacy Notice. The Cayman Islands Ombudsman supervises data protection in the Cayman Islands.

13. Complaints

If you are unhappy with our service, tell us at ir@rocklakecapital.com, marking your message “Complaint” and giving your name and details. See our full Complaints Handling Procedure for what happens next and how to escalate a complaint.

14. Conflicts of interest

We maintain arrangements to identify and manage conflicts of interest. Where we cannot avoid a conflict, we will tell you about it before we proceed. See our full Conflicts of Interest Policy.

15. Contact

MT Capital Markets Ltd, Artemis House, 67 Fort Street, George Town, Grand Cayman KY1-1111, Cayman Islands. Email: ir@rocklakecapital.com.