In the context of the business of DG Partners LLP (“DG Partners”) as an alternative investment fund manager (“AIFM”), “eligible complainants” are underlying investors in the alternative investment funds (“AIFs”) managed by DG Partners who are individuals “acting for purposes which are wholly or mainly outside that individual’s trade, business, craft or profession”. A “MiFID complaint” is separately defined by the FCA, and relates to the Firm’s MiFID business. A complainant for the purposes of the Firm’s MiFID business includes professional clients and eligible counterparties, as well as potential investors.
You should contact us if there are any aspects of the AIF management services, or MiFID business provided by DG Partners that you are not satisfied with. In the event that you are an eligible complainant, and we are unable to resolve your complaint to your satisfaction, you may also be entitled to refer your complaint to the Financial Ombudsman Service (“FOS”). The FOS is a UK agency for arbitrating on complaints between regulated firms and their clients. Full FOS details can be found on its website at www.financial-ombudsman.org.uk.
Please write to:
Legal and Compliance Department
DG Partners LLP
3rd Floor, 10 Grosvenor Street
London W1K 4QB
We take every complaint seriously and your complaint will be handled in accordance with the relevant FCA rules. DG Partners has a written complaints handling policy, a copy of which is available from the firm’s Legal and Compliance department upon request.
Pursuant to Directive 2014/65/EU as implemented by the FCA Rules, DG Partners is not permitted to accept third party research without paying for it. Accordingly, if you are a research provider, please do not send DG Partners any free or unsolicited research materials.
Pursuant to Directive 2014/65/EU as implemented by the FCA rules, DG Partners hereby notifies clients and prospective clients that:
Notwithstanding the fact that DG Partners LLP is registered as an investment adviser with the SEC, since DG Partners LLP is organised and operated outside the United States, its advisory clients who are not "US Persons" within the meaning of Rule 902(k) of Regulation S promulgated under the Securities Act of 1933 will not be afforded the full benefit and protection of the Advisers Act. The SEC staff has stated that the following provisions of the Advisers Act do not apply to a non-US adviser's relationship with a non-US Person:
The contents of this website are provided for information purposes only and do not constitute an invitation, solicitation or offer to subscribe for or purchase any investments, products or services.
Please read this information before proceeding, as it explains certain restrictions imposed by law on the information displayed on this website and the countries in which our funds are authorised for sale. It is your responsibility to be aware of and to observe all applicable laws and regulations of any relevant jurisdiction.
FOR UK USERS: In the United Kingdom, our site is issued only to and/or is directed only at persons who are Professional Clients or Eligible Counterparties as defined in the FCA rules. We neither provide investment advice to, nor receive and transmit orders from, investors in any funds nor do we carry on any other activities with or for such investors that constitute "MiFID or equivalent third country business" for the purposes of the FCA rules. Please contact us if you require any further information on your status. We only provide services to Professional Clients and Eligible Counterparties.
FOR EEA USERS: This site and the information on it is neither directed at nor made available to retail clients. It is directed only at persons who are Professional Investors (for the purposes of the Alternative Investment Fund Managers Directive (2011/61/EU) (known as "AIFMD"); Professional Clients or Eligible Counterparties for the purposes of the Markets in Financial Instruments Directive (Directive 2014/65/EU) (known as "MiFID"); or as otherwise defined under applicable local regulations and at whom this site and the information on it may lawfully be directed in any relevant jurisdiction.
FOR US USERS: This site and the information on it is only directed at United States persons who are "Accredited Investors" as defined in Regulation D under the Securities Act and "Qualified Purchasers" as defined in the U.S. Investment Company Act of 1940, as amended, and the rules promulgated thereunder. Further, any products or services described herein are only available to persons who are "Qualified Eligible Persons" as defined in Commodity Futures Trading Commission regulation 4.7
The DG Partners website www.dgpartners.co.uk ("our site") is issued for all purposes by DG Partners LLP (and the expression "we" and "our" shall be construed accordingly). We are authorised and regulated by the Financial Conduct Authority (the "FCA") in the United Kingdom with Firm Reference Number 218913. In the USA, DG Partners is registered as a Commodity Pool Operator with the Commodity Futures Trading Commission (CFTC) and is a member of the National Futures Association.
You must NOT use our site (or permit or procure others to use it) as follows:
The distribution of information on this site may be restricted by law in certain countries. This site and the information on it is not addressed to any person resident in the territory or country or jurisdiction where such distribution would be contrary to local law or regulation. Some funds are not available, and offering materials relating to them will not be distributed, to persons resident in any country where such distribution would be contrary to local law or regulation.
When using our site, you agree you will comply with all applicable local, national and international laws and regulations, including those related to data privacy, international communications and exportation of technical or personal data. It may be illegal to view and/or download the information contained on our site in certain countries and we and our affiliates disclaim all responsibility if you access or download any information from our site in breach of any law or regulation of the country in which you are a citizen or in which you are resident or domiciled.
We have taken reasonable care to ensure that the information on our site is accurate, current, complete, fit for its intended purpose and compliant with applicable law and regulation as at the date of issue. However, errors or omissions may occur due to circumstances beyond our control and no warranty is given, or representation made, regarding the accuracy, validity or completeness of the information on our site and no liability is accepted by such persons for the accuracy or completeness of such information. You must conduct your own due diligence and investigations rather than relying on any information on our site. Any person who acts upon, or changes his or her investment position in reliance on, the information contained on our site does so entirely at his or her own risk.
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The information and opinions contained in our site have been compiled, or arrived at, by us from sources believed by us to be reliable as at the date of publication. However, the information and any opinions contained on our site are subject to change, are for background purposes only and are not to be relied upon as investment advice or interpreted as a recommendation. We, our affiliates and other third parties connected to us do not accept any responsibility for any reliance which is placed by any visitor to our site, or by anyone who may be informed of any of its contents, on any information or opinions which are expressed herein and, to the extent permitted by law, expressly exclude all conditions, warranties, representations, undertakings and other terms which might otherwise be implied by statute, common law or in equity.
Our site is not intended to provide a sufficient basis on which to make any investment decision and you should not solely rely on it in evaluating the merits of investing in any investments, products or services referred to on our site. Any decision to purchase securities or interests with respect to any funds must only be made having thoroughly read the relevant prospectus or offering memorandum for the relevant fund, including any supplements thereto, which must be received and reviewed prior to any investment decision and which may contain information which is different from the information and opinions contained on our site. Any person subscribing for an investment, product or service referred to on our site must be able to bear the risks involved and must meet the suitability requirements relating to such investment, product or service. Some or all alternative investment programs may not be suitable for certain investors and no assurance can be given that any investment objective will be achieved.
We, our affiliates and other third parties connected to us therefore expressly exclude any liability and responsibility arising from any reliance placed on such materials and information by any visitor to our site, or by anyone who may be informed of any of its contents, for (i) the accuracy, validity, timeliness, merchantability or completeness of, any information or data (whether prepared by us or by any third party) for any particular purpose or use or that the information or data will be free from error and (ii) any direct, indirect or consequential loss or damage of any kind incurred by any visitor to our site, or by anyone who may be informed of any of its contents, in connection with our site or in reliance on the information or opinions contained in it, or in connection with the use, inability to use, or results of the use of our site or any websites linked to it or materials posted on it. This does not affect our liability for any loss or damage which cannot be excluded or limited under applicable law.
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