Regulatory Information & Risk Factors
Company and Regulatory details
Martin Currie Investment Management Limited, Martin Currie Fund Management Limited and Martin Currie Inc are wholly owned subsidiaries of Martin Currie Limited and are authorised and regulated in the United Kingdom by the Financial Conduct Authority:
- Martin Currie Investment Management Ltd – FCA No. 119289
Martin Currie Fund Management Limited – FCA No. 119358
Martin Currie Inc – FCA No. 122023
Martin Currie Inc and Martin Currie Investment Management Ltd are both registered as Investment Advisers with the Securities and Exchange Commission (SEC) in the United States of America.
If you would like further information on the Financial Conduct Authority (FCA), our regulator, you can access their website.
If you would like further information on the Securities Exchange Commission (SEC) you can access their website.
This website is intended for the information of residents in countries in which Martin Currie group services and products may be sold unless otherwise stated. The information contained within this website does not constitute an offer of or an invitation to apply for securities:
- In any jurisdiction where such offer or invitation is unlawful or
- In which the person making such offer is not qualified to do so or
- To whom it is unlawful to make such offer or solicitation.
The information has been issued and approved by Martin Currie Investment Management Limited and Martin Currie Fund Management Limited (collectively 'Martin Currie'). It does not in any way constitute investment, tax, legal or other advice. If you are in any doubt about any of the information on this website, please consult your financial or other professional adviser.
The distribution of this information in written format is restricted to the UK. The information contained in this site has been compiled with considerable care to ensure its accuracy at the date of publication. But no representation or warranty, express or implied, is made to its accuracy or completeness. Any research or analysis contained in this website has been procured by Martin Currie for its own use. It is provided to you only incidentally, and any opinions expressed are subject to change without notice.
United States of America
Investment by US persons into Funds is only available through Legg Mason Investor Services LLC (‘LMIS’), a US registered broker-dealer firm. LMIS is a member of the FINRA. MCIM, MC Inc and LMIS are Legg Mason, Inc. affiliates.
Certain information contained in this website relates to funds which have not been registered under the 1933 Act, as amended, and may not be offered or sold in the United States unless permitted pursuant to an exemption.
This material is provided on the basis that you are a wholesale client within the definition of ASIC Class Order 03/1099. Martin Currie is registered as a foreign company under the Corporations Act 2001 (ARBN 131 134 613). It is exempt from the requirement to hold an Australian Financial Services License under the Corporations Act 2001 in respect of financial services provided to Australian wholesale clients by virtue of the application of ASIC Class Order 03/1099.
Martin Currie Australia is a division of Legg Mason Asset Management Australia Limited (ABN 76 004 835 849). Legg Mason Asset Management Australia Limited holds an Australian Financial Services Licence (AFSL No. AFSL 240827) issued pursuant to the Corporations Act 2001.
Martin Currie must adhere to anti-money laundering legislation. This requires us to carry out identity verification checks. If we cannot adequately verify your and/ or your client's identification in accordance with the relevant legislation, we reserve the right to refuse the investment. If the funds are invested prior to the identity checks being carried out, we will not release the proceeds until we receive adequate verification of your and/or your client's identity.
Listed below are some of the services/products provided by Martin Currie. It is your responsibility to find out about, and observe, all applicable laws and regulations of any relevant jurisdiction in connection with any of the below products. If you or your client plans to buy shares, you must find out about the legal requirements/restrictions of doing so, and any applicable exchange control regulations and taxes in the respective countries of your or your client's citizenship, residence or domicile. You must also satisfy yourself as to their suitability having regard to your or your clients' financial circumstances. None of the products are offered for sale in any country in which such an offer is not permitted under that country's applicable law.
Legg Mason Funds ICVC
Legg Mason Funds ICVC (the "Company") is an umbrella company with variable capital registered with the Financial Conduct Authority. Legg Mason Investment Funds Limited is the Authorised Corporate Director (ACD) for Legg Mason Funds ICVC.
"Martin Currie Funds" means any sub-fund of the Company, currently existing or added in the future, for which the investment manager or a sub-investment manager is Martin Currie Investment Management Limited, including but not limited to each of the following:
Legg Mason IF Martin Currie Asia Pacific Fund
Legg Mason IF Martin Currie Emerging Markets Fund
Legg Mason IF Martin Currie Global Alpha Fund
Legg Mason IF Martin Currie North American Fund
Legg Mason IF Martin Currie China Fund
Legg Mason IF Martin Currie European Equity Income Fund
Legg Mason IF Martin Currie Global Equity Income Fund
Legg Mason Global Funds
Legg Mason Global Funds plc is an umbrella fund with segregated liability between sub-funds registered in Ireland (the “Company”). It also qualifies as a UCITS (Undertakings for Collective Investment in Transferable Securities) fund in the European Union.
“Martin Currie Funds” means any sub-funds in the Company, currently existing or added in the future, for which the investment manager or a sub-investment manager is Martin Currie Investment Management Limited, including but not limited to each of the follow:
Legg Mason Martin Currie Asia Long Term Unconstrained Fund
Legg Mason Martin Currie Asia Pacific Fund
Legg Mason Martin Currie Global Resources Fund
Legg Mason Martin Currie Greater China Fund
Legg Mason Martin Currie North American Fund
Legg Mason Martin Currie European Absolute Alpha Fund
Legg Mason Martin Currie Japan Absolute Alpha Fund
For your protection, all telephone calls are usually recorded.