Legal Disclaimers & Regulatory Disclosures
Important legal notices, regulatory disclosures, and compliance information governing the use of Helios Global Capital Markets services.
Last updated: February 2026
Contents
General Disclaimer
Helios Global Capital Markets is a private capital advisory and commodity trade facilitation firm. Nothing on this website constitutes legal, tax, investment, or financial advice. All information is provided for informational purposes only. Helios Global Capital Markets is not a registered investment adviser, broker-dealer, or licensed lender in all jurisdictions. Services may not be available in all jurisdictions. Clients are solely responsible for determining the suitability of any product or service based on their personal financial circumstances, investment objectives, and risk tolerance. Helios Global Capital Markets does not guarantee any specific outcome, return, or result. All transactions are subject to applicable laws and regulations.
Securities & Investment Disclaimer
Nothing on this website constitutes an offer to sell, a solicitation of an offer to buy, or a recommendation of any security or investment product. Helios Global Capital Markets is not a registered broker-dealer, investment adviser, or securities dealer with the U.S. Securities and Exchange Commission (SEC) or any state securities regulator. All information is provided for informational purposes only. Securities transactions are subject to applicable federal and state securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, and applicable state "Blue Sky" laws. Accredited investor access programs are available only to "accredited investors" as defined under SEC Rule 501(a) of Regulation D and/or "qualified institutional buyers" as defined under Rule 144A. Past performance is not indicative of future results. Investing involves risk, including the possible loss of principal. Prospective investors should consult with their own legal, tax, and financial advisors before making any investment decision.
Accredited Investor Access Programs
Accredited investor access programs described on this website are strictly confidential and intended solely for qualified parties. These offerings are exempt from SEC registration pursuant to Section 4(a)(2) of the Securities Act of 1933 and/or Regulation D promulgated thereunder. These offerings have not been registered with or approved by the SEC, FINRA, any state securities commission, or any other regulatory authority. No regulatory authority has reviewed, approved, or passed upon the accuracy or adequacy of these materials. Any representation to the contrary is a criminal offense. These programs are available only to accredited investors and qualified institutional buyers. Investors may lose their entire investment. These programs involve significant risk and are suitable only for investors who can bear the loss of their entire investment. The information herein is not intended for distribution to, or use by, any person or entity in any jurisdiction where such distribution or use would be contrary to applicable law or regulation.
Trade Finance Instruments
Trade finance instruments including Standby Letters of Credit (SBLC), Bank Guarantees (BG), and Medium-Term Notes (MTN) are complex financial instruments subject to international banking regulations, including the Uniform Customs and Practice for Documentary Credits (UCP 600), International Standby Practices (ISP98), and applicable laws of the issuing jurisdiction. These instruments are not insured by the Federal Deposit Insurance Corporation (FDIC) or any government agency. Helios Global Capital Markets acts as an advisory and facilitation intermediary only and does not issue, guarantee, or underwrite any banking instrument. All transactions are subject to Know Your Customer (KYC) and Anti-Money Laundering (AML) compliance requirements under the Bank Secrecy Act (BSA), the USA PATRIOT Act, and applicable OFAC regulations. Clients are solely responsible for ensuring compliance with all applicable laws in their jurisdiction.
Commodity Supply & Trade
Commodity supply transactions involve significant market, price, counterparty, and logistical risks. Prices quoted on this website are indicative only and subject to change based on global market conditions without notice. Helios Global Capital Markets acts as a commodity trade facilitator and intermediary; it is not a registered Commodity Trading Advisor (CTA) or Commodity Pool Operator (CPO) under the Commodity Exchange Act (CEA) or registered with the National Futures Association (NFA). All commodity transactions are subject to applicable trade laws, export controls, and sanctions regulations including those administered by the Office of Foreign Assets Control (OFAC), the Export Administration Regulations (EAR), and the International Traffic in Arms Regulations (ITAR) where applicable. Clients are responsible for obtaining all necessary import/export licenses and ensuring compliance with applicable laws in their jurisdiction.
Real Estate Financing
Real estate financing information provided on this website is for informational purposes only and does not constitute a commitment to lend, a loan approval, or a guarantee of financing. All loan applications are subject to credit approval, underwriting review, and applicable federal and state lending laws including the Truth in Lending Act (TILA), the Equal Credit Opportunity Act (ECOA), the Real Estate Settlement Procedures Act (RESPA), and the Dodd-Frank Wall Street Reform and Consumer Protection Act. Loan terms, rates, and availability are subject to change without notice and may vary based on borrower qualifications, property type, and market conditions. Real estate investments involve risk, including the possible loss of principal. Past performance of any real estate investment is not indicative of future results.
Credit Building & Tradelines
Information regarding tradelines, credit building, and business financing is provided for educational and informational purposes only. Helios Global Capital Markets does not guarantee credit approval, specific credit score improvements, or access to any particular credit product. Credit outcomes vary based on individual financial circumstances, credit history, and lender requirements. All credit and lending activities are subject to applicable federal and state laws including the Fair Credit Reporting Act (FCRA), the Equal Credit Opportunity Act (ECOA), the Truth in Lending Act (TILA), and applicable state consumer protection laws. Tradeline services are provided in compliance with applicable consumer protection laws. Clients should consult with a licensed financial advisor before making credit decisions.
KYC / AML & Compliance
Helios Global Capital Markets maintains strict compliance with applicable Know Your Customer (KYC), Anti-Money Laundering (AML), and Counter-Terrorism Financing (CTF) regulations. All clients and transactions are subject to identity verification, source-of-funds documentation, and ongoing monitoring requirements in accordance with the Bank Secrecy Act (BSA), the USA PATRIOT Act, OFAC sanctions programs, and applicable international standards including FATF recommendations. We reserve the right to decline or terminate any engagement that does not meet our compliance standards or that presents unacceptable legal, regulatory, or reputational risk. Submission of false or misleading information may constitute fraud and will be reported to appropriate authorities.
No Guarantee of Results
Helios Global Capital Markets makes no representations, warranties, or guarantees, express or implied, regarding the outcome of any capital advisory engagement, financing application, commodity transaction, or credit-building program. All services are provided on a best-efforts basis. The firm does not guarantee the availability of financing, the issuance of any banking instrument, the successful completion of any commodity transaction, or any specific credit outcome. Results depend on numerous factors outside the firm's control, including but not limited to market conditions, lender requirements, regulatory approvals, and client qualifications.
Jurisdictional Notice
The information and services described on this website may not be available in all jurisdictions and may be subject to restrictions in certain countries. This website is not directed at any person in any jurisdiction where the publication or availability of the website or its content is prohibited by law or regulation. Persons accessing this website from jurisdictions where its content is restricted do so on their own initiative and are responsible for compliance with applicable local laws. Nothing on this website should be construed as a solicitation or offer to provide services in any jurisdiction where Helios Global Capital Markets is not authorized to operate.
Questions About Compliance?
If you have questions regarding our legal disclosures, regulatory status, or compliance procedures, please contact our advisory team directly.
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