Financial/Investment Advisor Registration

Financial/Investment Advisor Registration

Terms and Conditions

  • 1. Personal Information
  • 2. Clients
  • 3. Terms & Conditions
  • 4. Confirmation

Step 1 of 3: Personal Information

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Why Register?

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By registering, you can gain access to HSBC Global Asset Management's list of offshore funds. Our funds' range consists of global, regional and single country funds across various asset classes including equities, bonds, money markets and specialist investments.

Personal Details

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    Confirm registrant's work email address:
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    Registrant's Central Registration Depository (CRD) number:
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Address Details

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User Details

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Options and Confirmation

  • 1. Your Information
  • 2. Clients
  • 3. Terms & Conditions
  • 4. Confirmation

Step 2 of 3: Clients





  • 1. Your Information
  • 2. Clients
  • 3. Terms & Conditions
  • 4. Confirmation

Step 3 of 4: Acceptance of Terms and Conditions


Terms and Conditions:

You must read carefully the terms and conditions and disclaimers set out below (the 'Terms') and agree to be bound by these Terms prior to registering as a user of this website (the 'Site'). By selecting ACCEPT at the bottom of this page, you agree to be bound by these Terms. If you do not agree to be bound by these Terms please select the DECLINE option below.

By accessing the Site, you agree to be bound by the Terms. Before using this Site, you should read carefully the Terms and also our Privacy Statement.

Terms and Conditions

You must read carefully the terms and conditions and disclaimers set out below (the 'Terms') and agree to be bound by these Terms prior to registering as a user of this website. By selecting ACCEPT at the bottom of this page, you agree to be bound by these Terms. If you do not agree to be bound by these Terms please select the DECLINE option below.





There is no assurance that a portfolio will achieve its investment objective. In addition, there is no guarantee that any investment strategy will work under all market conditions, and each investor should evaluate their ability to invest for the long-term, especially during periods of downturn in the market. Portfolios are subject to market risk, which is the possibility that the market values of securities owned by the portfolio will decline. Accordingly, investors can lose money investing. Investments in foreign markets entail special risks such as currency, political, economic, and market risks. The risks of investing in emerging-market countries are greater than the risks generally associated with foreign investments. Fixed income securities are subject to credit and interest-rate risk.

Shares of the HSBC Emerging Markets Funds may not be offered or sold in the United States of America, including its territories and possessions (“United States” or “US”), or, directly or indirectly, to or for the benefit of a U.S. Person, except in a transaction exempt from the registration requirement of the Securities Act of 1933, as amended.

HSBC is a global organization that operates in many different jurisdictions worldwide. Where appropriate, HSBC entities are registered with appropriate regulatory authorities in the jurisdictions in which they are required to be registered to carry on their respective business activities. HSBC Securities (USA) Inc. (HSI) is an HSBC broker dealer registered in the United States with the Securities and Exchange Commission under the Securities Exchange Act of 1934, as amended. HSI is also a member of the Financial Industry Regulatory Authority (FINRA). HSI is not authorized by, or registered with, the Financial Services Authority in the United Kingdom or with any other non-U.S. regulatory authority. The contents of this material are 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 local law or regulation. No HSBC entity makes any representation that the contents of the material are appropriate for use in all locations, or that the transactions, securities, products, instruments or services discussed are available or appropriate for sale or use with all investors or counterparties.

Contact HSBC Securities (USA) Inc., at 888-9EM-HSBC (888-936-4722) for a fund prospectus or download it from this site. Investors should carefully consider the investment objectives and risks as well as charges and expenses of the mutual fund before investing. The prospectus contains this and other information about the mutual fund. Read the prospectus carefully before investing.

HSBC Global Asset Management is the marketing name for the asset management businesses of HSBC Holdings Plc. HSBC Global Asset Management (USA) Inc. serves as the investment adviser to the HSBC Funds. Foreside Distribution Services, L.P., member FINRA, is the distributor of the HSBC Funds and is not affiliated with the Advisor. HSBC Securities (USA) Inc., member NYSE, FINRA, SIPC is a sub-distributor of the HSBC Funds. Affiliates of HSBC Global Asset Management (USA) Inc. receive fees for providing various services to the funds.

  • 1. Your Information
  • 2. Clients
  • 3. Terms & Conditions
  • 4. Confirmation

Step 4 of 4: Summary of Registration




This information contained on this webpage does not constitute investment advice, a solicitation or a recommendation to buy, sell or subscribe to any investment. It is not intended to provide and should not be relied upon for accounting, legal or tax advice.
HSBC Global Asset Management is the marketing name for the asset management businesses of HSBC Holdings Plc. HSBC Global Asset Management (USA) Inc. is an investment adviser registered with the US Securities and Exchange Commission. HSBC Global Asset Management (USA) Inc. serves as the investment adviser to the HSBC Funds. Foreside Distribution Services, L.P., member FINRA, is the distributor of the HSBC Funds and is not affiliated with the adviser. HSBC Securities (USA) Inc., member NYSE, FINRA and SIPC, is a sub-distributor of the HSBC Funds. Affiliates of HSBC Global Asset Management (USA) Inc. may receive fees for providing various services to the funds.

Risk Considerations:
Past performance is no guarantee of future results. There is no assurance that a portfolio will achieve its investment objective or will work under all market conditions. The value of investments may go down as well as up and you may not get back the amount originally invested. Portfolios may be subject to certain additional risks, which should be considered carefully along with their investment objectives and fees. Equity investments fluctuate in value based on changes to an individual company’s financial condition and overall market conditions. Investments in foreign markets involve risks such as currency rate fluctuations, potential differences in accounting and taxation policies, as well as possible political, economic, and market risks. These risks are heightened for investments in emerging markets which are also subject to greater illiquidity and volatility than developed foreign markets. Frontier markets generally have smaller economies or less developed capital markets than traditional emerging markets, and therefore investing in frontier markets can magnify the risks of investing in emerging markets. Fixed income is subject to credit and interest rate risk. Credit risk refers to the ability of an issuer to make timely payments of interest and principal. Interest rate risk refers to fluctuations in the value of a fixed income security that result from changes in the general level of interest rates. In a declining interest rate environment, a portfolio may generate less income. In a rising interest-rate environment, bond prices fall. Investments in high yield securities (commonly referred to as “junk bonds”) are often considered speculative investments and have significantly higher credit risk than investment grade securities. The prices of high yield securities, which may be less liquid than higher rated securities, may be more volatile and more vulnerable to adverse market, economic or political conditions. Risk is inherent in all investing. You could lose money by investing in the Money Market Fund (‘MM Fund’). Although the MM Fund seeks to preserve the value of your investment at $1.00 per share, it cannot guarantee it will do so. An investment in the MM Fund is not a deposit of HSBC Bank USA, N.A. and is not insured or guaranteed by the Federal Deposit Insurance Corporation or any other government agency. The MM Fund's sponsor has no legal obligation to provide financial support to the MM Fund, and you should not expect that the sponsor will provide financial support to the MM Fund at any time. For complete risk considerations, please refer to the fund's prospectus.

Investors should consider the investment objectives, risks, charges, and expenses of the investment company carefully before investing. The prospectus contains this and other important information about the investment company and the mutual fund. For clients of HSBC Securities (USA) Inc., please call 1-888-525-5757 for more information. For other investors and prospective investors, please call the Funds directly at 1-800-782-8183. You can download the fund prospectus from this site.  Investors should read the prospectus carefully before investing or sending money.

US persons (both entities and individuals) are subject to US taxation on their worldwide income and may be subject to tax and other filing obligations with respect to their US and non-US accounts. The Foreign Account Tax Compliance Act (FATCA) is a US law designed to prevent the use of non-US accounts or non-US entities to avoid US taxation of income and assets. To meet this objective, FATCA imposes on US and non-US entities certain documentation, due diligence, withholding and reporting requirements with respect to accounts and certain payments. Investors should consult their independent tax advisors about investment tax implications. 

Investment products are offered by HSBC Securities (USA) Inc. (HSI), member NYSE/FINRA/SIPC. HSI is an affiliate of HSBC Bank USA, N.A.

Investment Products:

ARE NOT A BANK DEPOSIT OR
OBLIGATION OF THE BANK OR ANY OF ITS
AFFILIATES 
ARE NOT FDIC
INSURED
ARE NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY ARE NOT GUARANTEED BY THE BANK OR ANY OF ITS AFFILIATES MAY LOSE
VALUE

All decisions regarding the tax implications of your investment(s) should be made in connection with your independent tax advisor.

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No endorsement or approval of any third parties or their advice, opinions, information, products, or services is expressed or implied by any information on this Site or any hyperlinks to or from any third party websites or pages. Your use of this website is subject to the terms and conditions governing it. Please read these terms and conditions before using the website. Information provided should not be construed as investment advice or a recommendation for any product or strategy. Past performance is no guarantee of future results.

© 2017 HSBC Global Asset Management

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No endorsement or approval of any third parties or their advice, opinions, information, products, or services is expressed or implied by any information on this Site or any hyperlinks to or from any third party websites or pages. Your use of this website is subject to the terms and conditions governing it. Please read these terms and conditions before using the website. Information provided should not be construed as investment advice or a recommendation for any product or strategy. Past performance is no guarantee of future results.

2015 HSBC Global Asset Management

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The information provided on this website is for informational purposes only and does not constitute advice or a recommendation to buy or sell investments or participate in any trading strategy. Any views and opinions are those of the presenter/author, as of the date of the material, and subject to change at any time.

By accessing this website, you acknowledge and consent to the following:

  • You are an Advisor who is authorized to conduct business with both onshore and offshore residents.
  • You understand the investment products contained in this website are 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 local law or regulation.
  • Any Institutional or Financial Advisor use information herein will not be disclosed, reproduced, shown or quoted to members of the general public or used in written form as sales literature.
  • All non-authorised reproduction or use of the information will be the responsibility of the user and may lead to legal proceedings.
  • You understand HSBC Global Asset Management does not represent the information herein is complete and accurate. In addition, HSBC Global Asset Management shall not be liable to you or any third party for any failure to meet any forecasts, projections or targets referenced.
  • HSBC Global Asset Management shall not be liable to you or any third party for any damages arising from any actions or investment decisions based on the information herein.

Shares of the HSBC Global Investment Funds may not be offered or sold in the United States of America, including its territories and possessions ("United States" or "US"), or, directly or indirectly, to or for the benefit of a U.S. Person, except in a transaction exempt from the registration requirement of the Securities Act of 1933, as amended.

As such, by accessing this website you agree that you will not provide any materials available through this website to any U.S. Person.