Compliance

The Pareto Securities group provides trading on different venues. In addition to the member venues listed below, we offer trading on a wide spectre of other venues, broker- and dark pools through third party vendors. Contact your local broker for more information.

Norway

Pareto Securities AS is a member of the following venues:

• Oslo Stock Exchange
• Euronext Expand Oslo
• Euronext Growth Oslo
• Nasdaq Nordic
• Xetra
• Cboe
• Spotlight Stock Market
• Nordic Growth Market

Sweden

Pareto Securities AB is a member of the following venues:

• Nasdaq OMX Stockholm derivatives market

Pareto Securities AB is not a direct member of any other regulated market or a multilateral trading facility. Instead, it uses Direct Market Access through the Pareto Group in the trading venues listed above. When Pareto Securities AB gives an order for execution in a trading venue in which Pareto Group is not a market participant, Pareto Securities AB endeavour to make sure that the best possible result is achieved for the client.

Finland

Pareto Securities Oy is not a direct member of a regulated market or a multilateral trading facility. Instead, it uses Direct Market Access and brokers of the Pareto Group for the execution of client orders in the trading venues listed above. When Pareto Securities Oy gives an order for execution by another broker in a trading venue in which Pareto Group is not a market participant, Pareto Securities Oy endeavours to make sure that the best possible result is achieved for the client.

United Kingdom

Pareto Securities Ltd has entered into an Introducing Broker agreement with Pareto Securities AS. Orders received from Clients in relation to financial investments will be transmitted to Pareto Securities AS (Norway) for execution through the Pareto Securities Group trading platform, as well as via The Pareto Securities Group dealing desk. When Pareto Securities Ltd gives an order for execution in a trading venue in which Pareto Group is not a market participant, Pareto Securities Ltd endeavour to make sure that the best possible result is achieved for the client.

All complaints must be in writing and may be forwarded by e-mail to compliancedepartment@paretosec.com or by mail to our respective offices mentioned below.

You will find our internal complaint procedures here.

Norway
Pareto Securities AS
Att: Compliance
P.O. Box 1411 Vika
N-0115 Oslo
Norway

Our clients may also free of charge forward complaints to Norwegian Securities Dealers Association’s Ethics council (page only available in Norwegian).

Sweden
Pareto Securities AB
Att: Compliance
P.O. Box 7415
SE-1Q3 91 Stockholm
Sweden

Clients who are consumers can obtain advice from the Swedish Consumers’ Banking & Finance Bureau as well as through the municipal consumer guidance. In order to have a case examined independently and free of charge, clients can contact the National Board for Consumer Disputes (ARN) or a public court of law. Complaints must be submitted to ARN within six months from the date Pareto Securities AB first fully or partially rejected the client’s claim. ARN provides recommendations on how disputes between clients and securities institutions should be resolved. For more information, go to www.arn.se.

Finland
Pareto Securities Oy
Att: Compliance
Aleksanterinkatu 44, 3rd floor
F-00100 Helsinki
Finland

The Finnish Financial Ombudsman Bureau (FINE) provides advisory services to private individuals and small enterprises in problem situations relating to the banking, insurance and securities sectors. The Finnish Insurance, Banking and Securities Complaints Boards operate in connection with FINE. The Complaints Boards issue recommendations on disputes in their respective fields. Services are free of charge. For more information, go to www.fine.fi.

Pareto Securities advocates for a corporate compliance culture and is committed to ensuring a safe, healthy, and legal environment in all its business activities and offices. We encourage all of our employees, business partners and other stakeholders to report illegal, unethical, or other unacceptable circumstances related to our activities.

The Pareto whistleblowing channel is a tool enabling submission of any suspected breach of the local and/or EU/EEA law, or of Pareto Securities’ internal policies or standards, or any other issues of serious concern affecting the Pareto Securities group. The Pareto whistleblowing channel is provided in close cooperation with law firm Wiersholm AS though a third-party system, Whistleblower Software.

To file a report, follow the instructions in the Pareto whistleblowing channel here.

Please note that the Pareto whistleblowing channel should not be used for reporting customer complaints, or general opinions on Pareto Securities’ business.

You may also report suspected irregularities or misconduct to competent authorities in other areas such as:

• Sweden:  
  • The Swedish Work Environment Authority (Arbetsmiljöverket)
  • The Swedish Financial Supervisory Authority (Finansinspektionen)
  • Swedish Authority for Privacy Protection (IMY)
• Denmark: The Danish Data Protection Agency (Datatilsynet)
• Finland: The Office of the Chancellor of Justice (Valtioneuvoston Oikeuskansleri)
• Germany: The Federal Office of Justice (Bundesamt für Justiz)

Pareto Securities does not currently have any tied agents.