By using this website www.axiacm.com, you agree to be bound by the Terms and Conditions of Use and Disclaimer set forth below, which may be modified by AXIA at any time without prior notice.
AXIA Ventures Group, Ltd. (AVG) is a privately-owned investment banking group located in Nicosia, Cyprus, and is regulated by the Cyprus Securities and Exchange Commission. AVG is the sole owner of AXIA Capital Markets, LLC (ACM a broker-dealer registered broker dealer with the Securities and Exchange Commission (SEC) and a member of the Financial Industry Regulatory Authority (FINRA) (www.finra.org) and the Securities Investor Protection Corporation (SIPC). In connection with Axia’s business activities, broker-dealer services are provided through ACM. All references herein to “Axia” shall mean AVG and ACM, provided any disclosures relating to broker dealer activities shall be deemed to refer only to ACM.
The Website is intended for informational purposes only and does not constitute an offer to sell or the solicitation of an offer to purchase any security or investment product or services. All information presented on the Website has been prepared without regard to any particular user’s investment objectives, financial situation, or means. AXIA does not intend for any information presented on the Website to be business, financial, investment, hedging, trading, legal, regulatory, tax, or accounting advice, and the information presented herein should not be the basis for any investment decisions made by or on behalf of you, your accountants, or your managed or fiduciary accounts. You may want to consult your business advisor, attorney, and tax and accounting advisors concerning any contemplated transactions. The fact that ACM has made the data and services provided through the Website available to you does not constitute a representation that any product described on this site is suitable or appropriate for you.
The information presented on this Website 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 Axia, its affiliates, employees, directors, officers or agents to any registration requirement within such jurisdiction or country.
Acceptable Use Policy
Users are permitted to store, display, analyze, modify, reformat, and print the information made available to them via this site solely for their own use. Users are not permitted to publish, transmit, or otherwise reproduce this information, in whole or in part, in any format to any third party without the express written consent of ACM. In addition, users are not permitted to alter, obscure, or remove any copyright, trademark, or any other notices that are provided in connection with the information. ACM reserves the right, at any time and from time to time, in the interests of its own editorial discretion and business judgment to add, modify, or remove any of the information. These Terms and Conditions of Use and Disclaimer are not intended to, and will not, transfer or grant any rights in or to the information other than those which are specifically described herein, and all rights not expressly granted herein are reserved by ACM or the third party providers from whom ACM has obtained the information. Users are required to read and abide by any additional terms and conditions that may be posted on this site from time to time.
Your use of the Website may be monitored by ACM, and the resultant information may be used by ACM for its internal business purposes and/ or in accordance with the rules of any applicable regulatory or self-regulatory organization.
Disclaimer of Warranty and Limitation of Liability
THE CONTENT OF THIS WEBSITE PROVIDED ON AN “AS IS” BASIS AT THE USER’S SOLE RISK. ALL INFORMATION POSTED ON THIS SITE IS BELIEVED TO BE RELIABLE AT THE TIME OF POSTING AND AXIA MAKES NO REPRESENTATIONS CONCERNING THE WEBSITE OR ANY LINKS PROVIDED ON THE WEBSITE. AXIA SHALL HAVE NO RESPONSIBILITY TO MAINTAIN THE DATA AND SERVICES MADE AVAILABLE ON THIS SITE OR TO SUPPLY ANY CORRECTIONS, UPDATES, OR RELEASES IN CONNECTION THEREWITH. AVAILABILITY OF DATA AND SERVICES ARE SUBJECT TO CHANGE WITHOUT NOTICE.
AXIA DISCLAIMS ALL EXPRESS, IMPLIED, AND STATUTORY WARRANTIES OF ANY KIND, INCLUDING WARRANTIES OF MERCHANTABILITY, NON-INFRINGEMENT OR FITNESS FOR A PARTICULAR PURPOSE, IN CONNECTION WITH OR ARISING FROM YOUR USE OF THIS WEBSITE.
IN NO EVENT SHALL AXIA OR ANY OF ITS AFFILIATES, MANAGER MEMBERS, MEMBERS, PARTNERS, DIRECTORS, OFFICERS, EMPLOYEES, OR OTHER REPRESENTATIVES BE LIABLE OR HAVE ANY RESPONSIBILITY OF ANY KIND FOR ANY MONETARY DAMAGES ARISING YOUR USE OF THIS WEBSITE.
Certain information presented through the Website was prepared using materials or information prepared by third parties. Although ACM considers this information reliable, ACM has not verified this information and does not represent that this information or any materials prepared on the basis of such information, accurate, current, or complete.
The Website may provide links to certain Internet sites of and maintained by third parties. ACM is providing such links solely as a convenience to you. Accordingly, ACM makes no representations concerning the content of the sites. The fact that ACM has provided a link to a site does not constitute an endorsement, authorization, sponsorship, or affiliation by ACM with respect to the site, its owners, or its providers. ACM has not tested or researched any information, software, or products found on any of the sites and therefore does not make any representations with respect thereto, including any representations regarding the content or sponsors of the site, or the suitability or appropriateness of the products or transactions described therein or the accuracy and timeliness of the information provided therein.
All references to ACM herein shall refer to ACM’ affiliates, subsidiaries and assigns.
Our commitment to Your Privacy: AXIA Capital Markets, LLC (“AXIA”) has a policy of protecting the confidentiality and security of information we collect about customers. We will not share nonpublic information about you (“Information”) without your consent, except for specific purposes described below. This notice describes the Information we may gather and the circumstances under which we may share it.
Why We Collect and How We Use Information: We limit the collection and use of Information to the minimum we require to deliver superior service to you. Such service includes maintaining your accounts with us, processing transactions requested by you and administering our business.
How We Gather Information: We get most Information directly from you, when you apply for, access and use financial products and services offered by our firm. We may verify this information or get additional information from consumer reporting agencies or public sources. This Information may relate to your finances, employment, as well as transactions and interactions with our firm or others.
Disclosure of Information: We may disclose any Information to or when we believe it necessary for the conduct of our business, or where law requires disclosure. For example, Information may be disclosed for audit or research purposes, to attorneys or other professionals, or to law enforcement and regulatory agencies, for example, to help prevent fraud. In addition, we may disclose Information to third party services providers (i) to enable them to provide business services for our firm, such as performing computer related data maintenance or processing services for our firm, (ii) to facilitate the processing of transactions requested by you, (iii), to assist us in offering products and services to you, or (iv) for credit review and reporting purposes. Except in those specific, limited situations, without your consent, we will not make any disclosures of Information to other companies who may want to sell their products or services to you. For example, we do not sell customer lists and we will not sell your name to a catalogue company. It is AXIA’s policy to require all third parties that are to receive any Information to sign strict confidentiality agreements.
Access to and Correction of Information: If you desire to review any file we may maintain for your personal Information, please contact us. If you notify us that any Information is incorrect, we will review it. If we agree, we will correct our records. If we do not agree, you may submit a short statement of dispute, which we will include in future disclosures of disputed Information. Information collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available.
BUSINESS CONTINUITY PLAN DISCLOSURE
AXIA Capital Markets, LLC (“Axia”) is a broker-dealer and member of the Financial Industry Regulatory Authority, (“FINRA”) that maintains your account.
FINRA Rule 3510 requires each member firm to create and maintain a business continuity plan. In accordance with these rules AXIA has developed a plan to ensure that business continues to run uninterrupted during business emergencies.
The plan is designed to address key areas of concern including but not limited to the following:
• Books and records recovery;
• All mission critical systems;
• Financial and operational assessments;
• Alternate means of communication between Axia and its customers;
• Alternate means of communication between Axia and its employees;
• Alternate physical locations of employees;
• Critical business constituent, bank and counter-party impact;
• Regulatory reporting;
• Communications with regulators; and
• How Axia will ensure that all customers have access to their funds and securities in the event Axia determines it is unable to continue its business.
Events creating a disruption of business may vary in nature. They could affect only AXIA , affect the building where Axia is located, affect the entire business district where Axia is located, result in a citywide disruption, or result in a regional disruption. AXIA fully intends to continue to conduct its securities business during these periods of business disruption ranging from disruptions that only affect AXIA to disruptions that have regional impact.
To address disruptions affecting AXIA and the location(s) in which the firm conducts its business, arrangements have been made with organizations and facilities to supply a physical location as well as key technology infrastructure in an area that does not share power grids with the affected location, affording AXIA the opportunity to relocate its key employees and critical information technology systems to provide services for its clients.
To address citywide and regional business disruptions, arrangements have been made with vendors to supply Axia alternate office space and access to critical technology in cities and regions that differ from the affected area. AXIA intends to take advantage of this and employ the use of these facilities and affiliates which are located in other cities or regions of the country.
Please be advised that business continuity plans are subject to change and modification. Axia intends to update and test its business continuity plans as business conditions and technology change.
Should you have any questions concerning our business continuity plan, you may submit a written request for additional information to our Customer Service Department located at: AXIA Capital Markets, LLC, 645 Fifth Ave., Suite 903, New York, NY 10022.
Chief Compliance Officer
AXIA Capital Markets, LLC