The document outlines the restrictions on offering, selling, or making available Preferred Shares to retail investors in the European Economic Area (EEA) under the PRIIPS Regulation. It specifies that the target market for these shares is limited to eligible counterparties and professional clients as defined by MiFID II. Additionally, it includes notices for investors in Florida and Georgia regarding exemptions and registration requirements under respective state laws. The document also contains disclaimers about forward-looking statements.
doj/DataSet10/EFTA01386809.pdf
{"title":"Alpha Group Capital LLC - PRIIPS Regulation / Prohibition on Sales to EEA Retail Investors","document_date":"February 2018","document_type":"legal","key_locations":["European Economic Area","Cayman Islands","Florida","Georgia"],"key_organizations":["Alpha Group Capital LLC"],"reference_numbers":["Directive 2014/65/EU","Directive 2002/92/EC","Regulation (EU) No 1286/2014","section 517.061","Georgia Uniform Securities Act of 2008"]}