The information provided on this site or in any communication containing a link to this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Euro Pacific Capital, a division of A.G.P. / Alliance Global Partners Corp, (“EPC”) or its affiliates to any registration requirement within such jurisdiction or country. Neither the information, nor any opinion contained in this site constitutes a solicitation or offer by Euro Pacific Capital or its affiliates to buy or sell any securities, options or other financial instruments or provide any investment advice or service.
SEC-Required Report on Routing of Customer Orders
SEC Rule 606 Report – Euro Pacific Capital
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SEC Rule 606(a) Report – Euro Pacific Capital
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To see historical quarterly reports (Q3 2021 & prior)
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Upon request, A.G.P. / Alliance Global Partners will disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge.
SEC RULE 606(B)(1) – A G P / Alliance Global Partners, upon request of its customer, will provide details on NMS stock and option non-directed orders in NMS securities including the identity of the venue and the time of execution for the prior six months.
SEC RULE 606(B)(3) – A G P / Alliance Global Partners, upon request of its customer, will provide specific disclosures related to the routing and execution of the customer’s NMS stock orders submitted on a not held basis for the prior six months. Note: You may not be eligible to receive this report based on specific criteria noted in the text of the rule. See full rule: https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=1&ty=HTML&h=L&mc=true&r=SECTION&n=se17.4.242_1606
Request can be made to [email protected] or via your Registered Representative.
SEC-Required Report on Execution Quality of Executions
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Euro Pacific Capital’s Customer Identification Program Notice
Euro Pacific Capital has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of “non-directed orders” — any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, Euro Pacific Capital has selected the execution venue on behalf of its customers.
The report is divided into four sections: one for securities listed on the New York Stock exchange, one for securities listed on The Nasdaq Stock Market, one for securities listed on the American Stock Exchange or regional exchanges, and one for exchange-listed options. For each section, this report identifies the venues most often selected by Euro Pacific Capital sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of Euro Pacific Capital’s relationship with the venues.
Following the attacks on 11 September 2001, the U.S. government enacted the USA PATRIOT Act, which is designed to prevent the use of the U.S. financial system to help fund terrorism and other crimes. The Act, which is similar to regulations in other countries in which we do business, imposes a series of new anti-money-laundering requirements on brokerage firms and other financial institutions.
Under the USA PATRIOT Act and other regulations, financial services firms must establish a compliance program, which includes policies and procedures to detect and report suspicious transactions to the government, as well as ensure compliance with the new laws. Firms must also implement specialized employee training programs, designate a special compliance officer and conduct independent audits of the effectiveness of the compliance program.
All of our employees are being trained in anti-money-laundering practices and procedures, as well as the details of the firm’s policies.
The regulations also impose new requirements regarding client information and verification of that information. Financial services firms are required to verify the identity of the clients with whom they do business, determine the source of funds in a client’s account and obtain the information about a client’s wealth.
At Euro Pacific Capital, we have always stressed the importance of knowing our clients. This tradition has developed not only from regulatory requirements but also from the belief that the better we know our clients, the better we can serve their financial needs.
Important Information You Need to Know about Opening a New Account:
To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify and record information that identifies each person who opens an account.
This notice answers some questions about your firm’s Customer Identification Program.
What types of information will I need to provide?
When you open an account, your firm is required to collect the following information:
- Date of birth
- Identification number:
- U.S. citizen: taxpayer identification number (Social Security number or employer identification number)
- Non-U.S. citizen: taxpayer identification number; passport number and country of issuance; alien identification card number; or government-issued
- identification showing nationality, residence and a photograph of you.
You may also need to show your driver’s license or other identifying documents.
A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement or a trust agreement.
U.S. Department of the Treasury, Securities and Exchange Commission, FINRA and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives and risk tolerance.
What happens if I don’t provide the information requested or my identity can’t be verified?
Our firm may not be able to open an account or carry out transactions for you. If our firm has already opened an account for you, we may have to close it. We thank you for your patience and hope that you will support the financial industry’s efforts to deny terrorists and money launderers access to America’s financial system.
Notices and Other Communications
You consent to the delivery of any required or optional communication or agreement under any applicable law or regulation and any agreements or changes in the terms and conditions of the Euro Pacific Capital by e-mail, website or other electronic means, subject to compliance with any applicable laws, rules or regulations. Any such documents that are delivered to you electronically are deemed to be “in writing.” You agree that Euro Pacific Capital fulfills its legal obligation to deliver to you any such document if sent by Euro Pacific Capital Inc via electronic delivery to an email address that has been used in the normal course of business between both parties. If your signature or acknowledgment is required or requested with respect to any such document and any Authorized Person “clicks” in the appropriate space, or takes such other action as may be indicated, you will be deemed to have signed or acknowledged the document to the same extent and with the same effect as if you had signed the document manually.
Euro Pacific Capital’s Business Continuity Planning Disclosure Statement
Euro Pacific Capital (“EPC”) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
If after a significant business disruption you cannot contact us as you usually do at 203-662-9700, you should call our alternative number 800-727-7922 or go to our web site at www.europac.net. Our clearing Firm is: National Financial Services LLC (“NFS”), 200 Seaport Boulevard, Boston, Massachusetts 02110; If after a significant business disruption you cannot contact us through any of the means listed above, you should contact National Financial Services LLC at 800-801-9942 or www.nationalfinancial.com for instructions on how NFS may provide prompt access to funds, securities, entering orders and process trade-related cash and security transfer transactions
Our Business Continuity Plan
We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firm, National Financial Services LLC (“NFS”), backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within one business day. Your orders and requests for funds and securities could be delayed during this period.
Significant business disruptions can vary in their scope, such as our Firm, the building housing our Firm, the business district where our Firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe in a disruption to only our Firm or a building housing our Firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 24 hours. In a disruption affecting our business district, city or region, we will transfer operations to our clearing firm if necessary, and notify you through our website www.europac.net or to our customer emergency number 203-662-9700 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
For more information
Upon the opening of accounts, customers are notified of our Business Continuity Plan (“BCP”) and a copy of the BCP will be mailed upon request. If you have any questions about our business continuity planning, you can contact us at 800-727-7922 or www.europac.net.
Mutual Funds Breakpoint Discounts Disclosure Statement
Before investing in mutual funds, it is important that you understand the sales charges, expenses, and management fees that you will be charged, as well as the breakpoint discounts to which you may be entitled. Understanding these charges and breakpoint discounts will assist you in identifying the best investment for your particular needs and may help you reduce the costs of your investment. This disclosure document will give you general background information about these charges and discounts. However, sales charges, expenses, management fees, and breakpoint discounts vary from mutual fund to mutual fund. Therefore, you should discuss these issues with your financial advisor and review each mutual fund’s prospectus and statement of additional information, which are available from your financial advisor, to get the specific information regarding the charges and breakpoint discounts associated with a particular mutual fund.
Investors that purchase mutual funds must make certain choices, including which funds to purchase and which class share is most advantageous. Each mutual fund has a specified investment strategy. You need to consider whether the mutual fund’s investment strategy is compatible with your investment objectives. Additionally, most mutual funds offer different share classes. Although each share class represents a similar interest in the mutual fund’s portfolio, the mutual fund will charge you different fees and expenses depending upon your choice of share class. As a general rule, Class A shares carry a “front-end” sales charge or “load” that is deducted from your investment at the time you buy fund shares. This sales charge is a percentage of your total purchase. As explained below, many mutual funds offer volume discounts to the front-end sales charge assessed on Class A shares at certain predetermined levels of investment, which are called “breakpoint discounts.” In contrast, Class B and C shares usually do not carry any front-end sales charges. Instead, investors that purchase Class B or C shares pay asset-based sales charges, which may be higher than the charges associated with Class A shares. Investors that purchase Class B and C shares may also be required to pay a sales charge known as a contingent deferred sales charge when they sell their shares, depending upon the rules of the particular mutual fund.
Most mutual funds offer investors a variety of ways to qualify for breakpoint discounts on the sales charge associated with the purchase of Class A shares. In general, most mutual funds provide breakpoint discounts to investors who make large purchases at one time. The extent of the discount depends upon the size of the purchase. Generally, as the amount of the purchase increases, the percentage used to determine the sales load decreases. In fact, the entire sales charge may be waived for investors that make very large purchases of Class A shares. Mutual fund prospectuses contain tables that illustrate the available breakpoint discounts and the investment levels at which breakpoint discounts apply. Additionally, most mutual funds allow investors to qualify for breakpoint discounts based upon current holdings from prior purchases through “Rights of Accumulation,” and future purchases, based upon “Letters of Intent.” This document provides general information regarding Rights of Accumulation and Letters of Intent. However, mutual funds have different rules regarding the availability of Rights of Accumulation and Letters of Intent. Therefore, you should discuss these issues with your financial advisor and review the mutual fund prospectusto determine the specific terms upon which a mutual fund offers Rights of Accumulation or Letters of Intent.
1. Rights of Accumulation– Many mutual funds allow investors to count the value of previous purchases of the same fund, or another fund within the same fund family, with the value of the current purchase, to qualify for breakpoint discounts. Moreover, mutual funds allow investors to count existing holdings in multiple accounts, such as IRAs or accounts at other broker-dealers, to qualify for breakpoint discounts. Therefore, if you have accounts at other broker-dealers and wish to take advantage of the balances in these accounts to qualify for a breakpoint discount, you must advise your financial advisor about those balances. You may need to provide documentation establishing the holdings in those other accounts to your financial advisor if you wish to rely upon balances in accounts at another firm.
In addition, many mutual funds allow investors to count the value of holdings in accounts of certain related parties, such as spouses or children, to qualify for breakpoint discounts. Each mutual fund has different rules that govern when relatives may rely upon each other’s holdings to qualify for breakpoint discounts. You should consult with your financial advisor or review the mutual fund’s prospectus or statement of additional information to determine what these rules are for the fund family in which you are investing. If you wish to rely upon the holdings of related parties to qualify for a breakpoint discount, you should advise your financial advisor about these accounts. You may need to provide documentation to your financial advisor if you wish to rely upon balances in accounts at another firm.
Mutual funds also follow different rules to determine the value of existing holdings. Some funds use the current net asset value (NAV) of existing investments in determining whether an investor qualifies for a breakpoint discount. However, a small number of funds use the historical cost, which is the cost of the initial purchase, to determine eligibility for breakpoint discounts. If the mutual fund uses historical costs, you may need to provide account records, such as confirmation statements or monthly statements, to qualify for a breakpoint discount based upon previous purchases. You should consult with your financial advisor and review the mutual fund’s prospectus to determine whether the mutual fund uses either NAV or historical costs to determine breakpoint eligibility.
2. Letters of Intent – Most mutual funds allow investors to qualify for breakpoint discounts by signing a Letter of Intent, which commits the investor to purchasing a specified amount of Class A shares within a defined period of time, usually 13 months. For example, if an investor plans to purchase $50,000 worth of Class A shares over a period of 13 months, but each individual purchase would not qualify for a breakpoint discount, the investor could sign a Letter of Intent at the time of the first purchase and receive the breakpoint discount associated with $50,000 investments on the first and all subsequent purchases. Additionally, some funds offer retroactive Letters of Intent that allow investors to rely upon purchases in the recent past to qualify for a breakpoint discount. However, if an investor fails to invest the amount required by the Letter of Intent, the fund is entitled to retroactively deduct the correct sales charges based upon the amount that the investor actually invested. If you intend to make several purchases within a 13 month period, you should consult your financial advisor and the mutual fund prospectus to determine if it would be beneficial for you to sign a Letter of Intent.
As you can see, understanding the availability of breakpoint discounts is important because it may allow you to purchase Class A shares at a lower price. The availability of breakpoint discounts may save you money and may also affect your decision regarding the appropriate share class in which to invest. Therefore, you should discuss the availability of breakpoint discounts with your financial advisor and carefully review the mutual fund prospectus and its statement of additional information, which you can get from your financial advisor, when choosing among the share classes offered by a mutual fund. If you wish to learn more about mutual fund share classes or mutual fund breakpoints, you may wish to review the investor alerts available on the FINRA Web site.: www.finra.org/Investors/ProtectYourself/InvestorAlerts/MutualFunds/p006022, and http://apps.finra.org/fundanalyzer/1/fa.aspx or visit the many mutual fund Web sites available to the public.
Margin Disclosure Statement
Euro Pacific Capital is furnishing this document to you to provide some basic facts about purchasing securities on margin, and to alert you to the risks involved with trading securities in a margin account. Before trading stocks in a margin account, you should carefully review the margin agreement provided by your firm. Consult your broker regarding any questions or concerns you may have with your margin accounts.
When you purchase securities, you may pay for the securities in full or you may borrow part of the purchase price from Euro Pacific Capital. If you choose to borrow funds from Euro Pacific Capital, you will open a margin account with the firm. The securities purchased are the firm’s collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, the firm can take action, such as issue a margin call and/or sell securities or other assets in any of your accounts held with the member, in order to maintain the required equity in the account.
It is important that you fully understand the risks involved in trading securities on margin. These risks include the following:
- You can lose more funds than you deposit in the margin account. A decline in the value of securities that are purchased on margin may require you to provide additional funds to the firm that has made the loan to avoid the forced sale of those securities or other securities or assets in your account(s).
- The firm can force the sale of securities or other assets in your account(s). If the equity in your account falls below the maintenance margin requirements, or the firm’s higher “house” requirements, the firm can sell the securities or other assets in any of your accounts held at the firm to cover the margin deficiency. You also will be responsible for any short fall in the account after such a sale.
- The firm can sell your securities or other assets without contacting you. Some investors mistakenly believe that a firm must contact them for a margin call to be valid, and that the firm cannot liquidate securities or other assets in their accounts to meet the call unless the firm has contacted them first. This is not the case. Most firms will attempt to notify their customers of margin calls, but they are not required to do so. However, even if a firm has contacted a customer and provided a specific date by which the customer can meet a margin call, the firm can still take necessary steps to protect its financial interests, including immediately selling the securities without notice to the customer.
- You are not entitled to choose which securities or other assets in your account(s) are liquidated or sold to meet a margin call. Because the securities are collateral for the margin loan, the firm has the right to decide which security to sell in order to protect its interests.
- The firm can increase its “house” maintenance margin requirements at any time and is not required to provide you advance written notice. These changes in firm policy often take effect immediately and may result in the issuance of a maintenance margin call. Your failure to satisfy the call may cause the member to liquidate or sell securities in your account(s).
- You are not entitled to an extension of time on a margin call. While an extension of time to meet margin requirements may be available to customers under certain conditions, a customer does not have a right to the extension. Securities purchased on margin are the firm’s collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, the firm can take action, such as issue a margin call and/or sell securities or other assets in any of your accounts held with the member, in order to maintain the required equity in the account.
In the event that any securities in your account become non-transferable. Our clearing Firm may remove them from your account without prior notice. Non-transferable securities are those where transfer agent services have not been available for six (6) or more years. A lack of transfer agent services may be due to a number of reasons, including that the issuer of such securities may no longer be in business and may even be insolvent. Our clearing Firm may remove non-transferable securities from your account pursuant to a Securities and Exchange Commission approved program that permits our custodian for these securities to no longer maintain the physical certificates representing the positions in these securities.
Please note the following:
- There are no known markets for these securities.
- We are unable to deliver certificates to you representing these positions.
- These transactions will not appear on Form 1099 or any other tax-reporting form.
- If the position is held in a retirement account, we will not report the removal of the position as a taxable distribution and any reinstatement of the position will not be reported as a contribution.
- If transfer agent services become available sometime in the future, NFS will use its best efforts to have the position reinstated in your account.
- Positions removed from your account will appear on your next available account statement following such removal as an “Expired” transaction.
By opening and maintaining an account with us, you consent to our actions as we have described them above, and you waive any claims against us arising out of such actions. You also understand that we do not provide tax advice concerning your account or any securities that may be the subject of removal from or reinstatement into your account, and you agree to consult your own tax advisor concerning any tax implications that may arise as a result of any of these circumstances.
Euro Pacific Capital, its subsidiaries and affiliates are not liable for any harm caused by the use of this site to any software, hardware, data or property of the user that may access, delete, damage, disable, disrupt or otherwise impede the operation or function of the users system/s through access to this site. This web-site is for informational purposes only and does not constitute a complete description of our investment services or performance. This web-site is in no way a solicitation or offer to sell securities or investment advisory services except, where applicable, in the states where we are registered or where an exemption or exclusion from such registration exists. Information throughout this site, whether stock quotes, charts, articles, or any other statement or statements regarding market or other financial information, is obtained from sources which we, and our suppliers believe reliable, but we do not warrant or guarantee the timeliness or accuracy of this information. Nothing on this web-site should be interpreted to state or imply that past results are an indication of future performance. Neither we nor our information providers shall be liable for any errors or inaccuracies, regardless of cause, or the lack of timeliness of, or for any delay or interruption in the transmission thereof to the user. THERE ARE NO WARRANTIES, EXPRESSED OR IMPLIED, AS TO ACCURACY, COMPLETENESS, OR RESULTS OBTAINED FROM ANY INFORMATION POSTED ON THIS OR ANY LINKED WEB-SITE.
Linked Sites: “Hypertext links” and/or “hyperlinks” to or from other Internet sites, may be included at times as a convenience to the user. Euro Pacific Capital assumes no responsibility for the content of any linked site. The fact that Euro Pacific Capital has made these links available is not an endorsement or recommendation by Euro Pacific of any materials or information you may find on any linked site. Euro Pacific Capital furnishes these links for your convenience only and they should be used at your discretion. There are inherent risks in the use of any software and information found in the Internet and you acknowledge that you understand these risks before using any of these services.
Account Protection: Euro Pacific Capital clears through National Financial Services LLC. Accounts carried on the books and records of Euro Pacific Capital are subject to protection provided by the Securities Investor Protection Corp. (SIPC) for amounts up to $500,000 including a maximum of $250,000 for cash claims subject to periodic adjustments for inflation in accordance with terms of the SIPC statute and approval by SIPC’s Board of Directors. Neither SIPC coverage nor “Excess of SIPC” coverage protects against a decline in the market value of securities, nor does either coverage extend to certain securities that are considered ineligible for coverage.
“Excess of SIPC” Coverage: In addition to SIPC protection, National Financial Services LLC provides for brokerage accounts additional “excess of SIPC” coverage from Lloyd’s of London, together with other insurers.1
The “excess of SIPC” coverage would only be used when SIPC coverage is exhausted. Like SIPC protection, “excess of SIPC” protection does not cover investment losses in customer accounts due to market fluctuation. It also does not cover other claims for losses incurred while broker-dealers remain in business. Total aggregate “excess of SIPC” coverage available through National Financial Services LLC’s “excess of SIPC” policy is $1 billion. Within National Financial Services LLC’s “excess of SIPC” coverage there is no per account dollar limit on coverage of securities, but there is a per account limit of $1.9 million on coverage of cash awaiting investment. This is the maximum “excess of SIPC” protection currently available in the brokerage industry.
Lloyd’s of London currently has an A (Excellent) rating with “Stable Outlook” from ratings firm A.M. Best and an A+ (Strong) with “Stable Outlook” from Fitch Ratings and Standard & Poor’s. 2
1Fidelity’s “excess of SIPC” insurance is provided by Lloyd’s of London, together with Axis Specialty Europe Ltd. and Munich Reinsurance Co.
2As of January 2011 and subject to change. For ratings explanations, please go to http://www.lloyds.com/Lloyds_Market/Ratings/.
Note: This message, including attachments, is from Euro Pacific Capital member FINRA/SIPC. This is not a solicitation of any order to buy or sell. The information contained herein is deemed to be reliable but is in no way warranted by us as to accuracy or completeness. Messages are monitored and retained by the Company, but the Company cannot guarantee the security of this message. If you are not the intended recipient of this message, promptly delete this message and notify the sender of the delivery error by return e-mail or calling 800-727-7922. You may not forward, print, copy, distribute, or use the information in this message if you are not the intended recipient.
Euro Pacific Capital is a member of FINRA and SIPC. This document has been prepared for the intended recipient only as an example of strategy consistent with our recommendations; it is not an offer to buy or sell or a solicitation of an offer to buy or sell any security or instrument or to participate in any particular investing strategy. Dividend yields change as stock prices change, and companies may change or cancel dividend payments in the future. All securities involve varying amounts of risk, and their values will fluctuate, and the fluctuation of foreign currency exchange rates will also impact your investment returns. Past performance does not guarantee future returns, investments may increase or decrease in value and you may lose money.
Data from various sources was used in the preparation of this document; the information is believed but in no way warranted to be reliable, accurate and appropriate.
Euro Pacific Capital employees buy and sell shares of the companies that are recommend for their own accounts and for the accounts of other clients.
Investors should carefully consider the information about Euro Pacific Funds, including investment objectives, risks, and charges and expenses, which can be found in the Euro Pacific Funds’ prospectus or summary prospectus. Copies of the prospectus or summary prospectus are available from your registered representative, at the Fund’s website, www.europacificfunds.com, or by calling 1-888-558-5851. You should read the prospectus or summary prospectus carefully before investing or sending funds.
SEC-Required Report on Execution Quality of Executions
Securities Exchange Act of 1934 requires market centers that trade national market system securities to prepare and make publicly available monthly electronic reports relating to the execution quality of their orders. Monthly public disclosures that categorize Euro Pacific’s order executions and statistical measures of customer execution quality can be viewed here. Specific information regarding a particular transaction can be provided upon request.
Business Continuity Plan Summary & Disclosure Statement
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