King & Shaxson

BASIC INFORMATION:

They are a financial services company incorporating an investment firm, trading venue, asset management, advice and training, and the safe custody of client assets. King & Shaxson has evolved into a financial services company incorporating an investment firm, MTF trading venue, safe custody, asset management and treasury consultancy. They are continually seeking ways to evolve and add value in order to provide their clients with the best and most complete service that they can. They have an ongoing commitment to a long-term partnership with their customers, enabling them to tailor the service and meet their needs on an individual basis. They pride themselves in offering a service of integrity across all areas.

REGULATORY INFROMATION: LICENSE

King & Shaxson Limited was regulated by the Financial Conduct Authority (FCA) at the United Kingdom with the regulatory license number of 179213.

BUSINESS SCALE

The company offers a wide range and a number of activities, including investment and asset management.

MARKET AND EXECUTION

AGENCY BOND

Their two bond dealing teams, King & Shaxson and NCL Capital Markets, offer a fully comprehensive coverage of both Sovereign and Corporate bonds in all the main currencies.

PRODUCTS

Their two bond dealing teams, King & Shaxson and NCL Capital Markets, actively trade both domestic and Eurobond issues, focusing on gilts, supranational and investment grade credit but also with market expertise in sub-investment grade bonds.

SERVICE

The service ranges from execution-only to full advisory. Bespoke packages are available comprised of varying levels of research, monitoring and advice. This can include trade ideas, execution, settlement, safe custody and performance measurement. Client portfolios can be enhanced by employing switch opportunities and extension / shortening trade ideas – both from a credit and interest rate perspective.

PRIVATE PLACEMENTS

For investors with specific investment needs, extensive market contacts are used to arrange private placement bond issues (fixed, floating rate and index-linked) or taps of existing market issues.

CURRENCY & HEDGING

Hedging of individual transactions, or indeed a whole portfolio, can be arranged. The bond dealing service is also complemented by a service in foreign exchange and transactions can be settled in any of the major currencies

MATCHED PRINCIPAL

As matched principal, King & Shaxson does not take positions. Views and recommendations will always be unbiased and for the sole interests of clients, whose anonymity will be preserved.

GLOBAL SECONDARY LOANS

King & Shaxson utilizes an extensive global institutional client base to facilitate secondary market loan transactions for motivated buyers and sellers in PF/Infrastructure, Corporate and Real Estate sectors (Performing and Non-Performing).

SECONDARY LOAN PRODUCT

· Multi-Sector Coverage including Project Finance/Infrastructure, Corporate and Real Estate

· Multi-jurisdictional Capability

· Syndicated, Club & Bilateral

· Investment Grade, High Yield & Unrated

· Senior, Mezzanine & Junior

· Performing & Non-Performing

GLOBAL INSTITUTIONAL CLIENT BASE:

· Commercial, Investment and Private Banks

· Supranational and Sovereign Agencies

· Insurance Companies

· Pension Funds

· Mutual/Hedge Funds

LOAN MANDATES: PROCESS

· Analysis & Data Presentation

· Execute NDA with Seller

· Collate Deal Documentation

· Construct Data Room

· Summarize Deal / Outline Term sheet (Pre-NDA)

· Investor Engagement

· Identify Relevant Investor Cohort

· Initiate Contact with Potential Investors

· Execute NDAs / Access to Data Room

· Assist with Investor Due Diligence / Q&A

· Execution & Settlement

· Negotiation of Trade Terms

· Secure Firm Order

· Effect Introduction of Parties

· Assist in KYC, Settlement Process & Post-trade Items

EXECUTION

Agency Fee Agreement

EQUITIES

King & Shaxson's team provide a matched principal service in pan-European equities.