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Investment Banking

Licenses and Regulations

NORWAY
Clarksons Platou Securities AS is registered in the Norwegian Registry of Business Enterprises with organization number 942 274 238. Clarksons Platou Securities AS is licensed and supervised by the Financial Supervisory of Norway ("FSA").   

Clarksons Platou Securities AS is a member of the Norwegian investor compensations scheme. The Norwegian Investor Compensation Scheme covers claims arising out of an investment firm’s financial inability to repay money owed to or belonging to investors and held on their behalf in connection with investment business; or return to investors any financial instruments belonging to them and held, administered or managed on their behalf in connection with investment business. For more information, see link below.

Clarksons Platou Securities AS is also a member of the Norwegian Securities Dealers Association, a national trade organization for investment firms.


UNITED STATES

Clarksons Platou Securities, Inc.is a registered securities broker-dealer subject to regulation by the Securities and Exchange Commission ("SEC") and the Finacial Industry Regulatory Authority ("FINRA").  The company’s SEC file number is 8-45221. The FINRA registration number is 30882.

Clarksons Platou Securities, Inc. is a also a member of the Securities Investor Protection Corporation (“SIPC”), which protects investors cash and securities held by the brokerage firm up to
US$ 500,000, including a US$ 250,000 limit for cash. More information can be found by using the link below.


RELATED LINKS
NORWEGIAN FINANCIAL SUPERVISORY AUTHORITY
SEC