Romcapital is a Romanian investment firm established in 1996. It has headquarters in Timisoara and branches in Bucharest, Sibiu, Satu Mare, and agencies in Cugir and Oradea. Romcapital is authorized to provide various financial investment services and trades financial instruments on the Bucharest Stock Exchange and Sibiu Stock Exchange. It aims to help clients achieve their investment goals through high-quality services.

1. Romcapital
Company Profile
www.romcapital.ro

2. SSIF ROMCAPITAL SA
Company Profile
1 Operational data 1996
Year of establishment:
CUI: 8882408 ; J35/1316/1996 ;
Accounts 52%5'(69 521 RSHQHG DW %5' 7LPL RDUD
52%5'(69 (85 RSHQHG DW %5' 7LPL RDUD
Registered capital: 1 400 000 RON
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Our addresses
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Branch Sibiu 1LFRODH %DOFHVFX 6W QR DS 6LELX WHO
Branch Satu Mare 9DVLOH /XFDFLX 6W QR WHO
Agency Cugir 'RLQHL 6W EO 6 $OED WHO
Agency Oradea *HRUJH (QHVFX 6W QR DS %LKRU WHO
Board of Directors Component
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PINTILIE MARIUS 0HPEHU
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Executive Board
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Internal Control Department
DREPTATE TEODORA WHO
GROZA MARIOARA WHO
MANCAS FLORIN WHO
MANCAS CATALIN WHO
PAVEL POMPILIU PAVEL WHO
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3. Membership
direct user of Bucharest Stock Exchange
member of National Society for Clearing Discount and Depositing (NSCDD)
shareholder of National Association of Securities Dealers and BSE Association
shareholder of Bucharest Stock Exchange
shareholder of Romanian Clearing House
member of Sibiu Monetary –Financial and Commodities Exchange
White Label Partner of Saxo Bank, Denmark
Company acts through one delegate agent; Olariu Brutus Cristian, registered at NSC
Bucharest, Romania.
2 Financial Investment Services authorized through NSC Decision
no. 1812/02.10.2007
PRINCIPAL SERVICES (services and investment activities):
taking and transmitting orders related to one or several financial instruments
executing orders for clients
making transactions for its own account
administrating portfolios
investment consulting
registering financial instruments and/or placing financial instruments on the basis
of a firm engagement
placing financial instruments without a firm engagement
administrating an alternative transaction system
RELATED SERVICES:
keeping safely and administrating financial instruments on client's account,
including custody and services related to this, such as administrating funds or
guarantees
offering credits or loans to investors so thai they should be able to make
transactions with one or several financial instruments, if the company offers the
credit or loan, it is involved in those transactions
offering consulting services to entities regarding capital structure, industrial
strategy and related aspects and consulting services regarding fusions and
acquisitions of some entities
currency exchange services related to investments services offered
research for investments and Financial analysis other means of general
recommendation regarding transactions with financial instruments
services regarding registration on the basis of a firm engagement
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4. RELATED SERVICES:
services and investment activities as well as related services like those stipulated in
points 1 and 2 letters a - f related to active support of the following derived
instruments, if they are related to the provisions regarding the investment services
and connected ones
options, futures contracts, swaps, forward contracts on interest rate and
any other derived contracts related to merchandise that needs to be settled
up in monetary funds or can be settled up in monetary funds at the request
of one of the parties (differently from non-payment or other incident
leading to annulment)
options, futures contracts, swaps and any other derived contracts related to
merchandise that can be physically settled up if traded on a regulated
market and/or within an alternative transaction system
options, futures contracts, swaps, forward contracts and any other derived
contracts related to merchandise that can be physically settled up, not
included in letter g.2 without commercial aims, having the features of other
derived financial instruments, considering, among others, whether they
are compensated or settled up by the intermediary of recognized
compensating houses or whether they are subject to appeals in margin on a
regular basis
options, futures contracts, swaps, forward contracts on interest rate and
any other derived contracts related to weather variables, freight, approvals
for substances emissions or inflation rates or other official economic
indicators that must be settled up in monetary funds or can be settled up in
this manner at the request of one of the parties (differently from
non-payment or other incident leading to annulment), as well as any other
derived contracts related to assets, rights, duties, index or indicators not
included in this definitions, presenting the features of other derived
financial instruments., taking into account, among others, whether they are
traded on a regulated market or within an alternative transaction system
and are compensated and settled up by recognized compensating houses or
whether they are subject to appeals in margin on a regular basis
Key Market Operations:
intermediary for the first electronic auction on the capital market carried on in
Romania (January 2000)
30 successful selling and buying public offers for both individuals and legal bodies
the intermediary of 10 privatizations for AVAS
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5. SSIF Romcapital SA, is authorized by the Romanian National Securities Commission
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the NSC and operates on the following markets:
Bucharest Stock Exchange, Carol I Boulevard no. 34-36, tel,: 004021/3079500
Monetary, Financial and Commodities Stock Exchange Sibiu, MihaiJ Kogataiceanu
street no. 2, tel. 0040269/211799
International markets
The following financial instruments can be traded on these markets: bonds, shares,
preference rights, futures contracts, options, Forex, CFDs, funds.
Ways to contact SSIF ROMCAPITAL:
in person at the headquarters or at the branch offices and agencies
electronically accessing the website of the company
by phone on the numbers above
Ways of communication:
it is possible to communicate with the company or request documents or other
information in English and Romanian
orders can be communicated in person, online, or by phone (if any authorization
for this purpose exists)
the confirmation of the transactions is communicated in person, by maii and
electronically
the frequency of the reports to clients: monthly or whenever necessary
SSIF Romcapital offers to its customers the possibility to view in real-time quotes of
the financial instruments both on the business premises of the company and also
electronically via its own platforms so that it is the basis of the clients' decision to
invest besides other technical or financial information which are made available
customers can ask for the issuance of account statements at the head office of the
brokerage firm, and also at all other establishments, in person, by a power of
attorney or guardianship obtained at the city hall of residence for people who can't
go personally
Securities and other financial instruments mediated by SSIF Romcapital SA, are issued by
the exclusive registration into the account and can't be traded except by specific
procedures of this form. The customer agrees not to apply for any securities in physical
form.
The company does not pay interest to the existing amounts in the balance of the current
account opened at SSIF Romcapital SA.
The information submitted by the brokerage firm to its clients must give them the
possibility, based on this information, to make investment decisions, to react quickly in
relation to current or potential losses and reflect on the consistency between the objective,
the proposed investment strategy and their available portfolio.
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7. SSIF will provide the necessary information to its customers as soon as possible in order to
allow them to make advisedly investment decisions.
If it executes the customer orders. SSIF must take all necessary measures in order to
achieve the best possible results for its clients, taking into consideration the price, costs,
speed and probability of execution and settlement, volume, nature of the transaction or
any other relevant characteristics for the execution of the order. If the client sends a
specific instruction, SSIF is obliged to execute the order according to that instruction.
The clients' orders are submitted to execution both at the head office of the company in
Timisoara and also at the 3 branches in Bucharest, Sibiu and Satu-Mare, where the trade is
made both on the BSE and SIBEX trading systems.
In the case of transactions with derivative financial instruments, SSIF will open a margin
account for derivative financial instruments on behalf of the natural persons or corporate
bodies for which it will fulfill transactions with such instruments and will create and sign
the order forms for such transactions.
For the customers for which SSIF Romcapital SA provides portfolio management services,
the frequency of the assessment of the portfolio will be half-yearly, the assessment
consisting of the comparison between the market value of the portfolio when the
assessment is being made and the value from the previous assessment. In calculating the
market value of portfolio, the paid financial Instruments are also taken into consideration,
but which are not included in the portfolio on the valuation date. In the event of delegation
of the client portfolio management, the brokerage firm will require the written agreement.
Investments in financial instruments carry certain risks of loss of the invested capital and
SSIF ROMCAPITAL SA undertakes no liability for any losses that may result.
SSIF ROMCAPITAL SA, does not guarantee the customer, verbally or in writing, any Fixed
amount or yield on customer's investment by financial instruments.
To help preventing investor’s losses in case of financial problems related to the SSIF
regarding their inability to return the funds and / or financial assets, the Compensation
Fund was established to provide a compensation for the clients in limit of 11.000 Euro in
2010, and this limit will be increased each year.
SSIF leaders and also ASTF are obliged to ask, to know, and communicate to their
customers information related to the significant holding of shares, their status in
companies traded on the stock market, the conditions in which they may come into a
conflict of interests with another brokerage firm or another of its clients.
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8. Where conflicts of interest can't be avoided or managed in accordance with the internal
independent policy, SSIF will not provide financial investment services as a counterparty
of the client or in the customer's name in front of who it is, directly or indirectly, in a
conflict of interest, taking into account also the interests which arise from transactions
within its group, only if it has disclosed in advance to the customer the nature and extent
of its interest, either in writing or by telephone and only if the client has agreed to enter
into a transaction under the outlined conditions. The informing and consent of the client
will be registered with the brokerage firm, including magnetic media if the communication
is made by telephone.
Any additional details relating to policy regarding the conflicts of interest will be made
available to the customer whenever he requests, on a durable medium or through
websites.
Working procedures under which the brokerage firm conducts its business are designed to
ensure confidentiality of the data and information related to the customers of the
company, the confidentiality of transactions and services provided and also to avoid the
appearance of conflicts of interest between the company's clients or between the
brokerage company and its clients.
SSIF shall inform clients or potential clients / concerned persons, in written, that collected
personal data will not be used and processed without their express consent only for
the purpose of providing financial investment services.
In the event of conflicts related to the customer-broker or client-SSlF relationship,
regarding the way of execution of the orders, how to send data to the client and any other
issues related to the correctness of the performed operations, the client may appeal to the
members of the Internal Control Department mentioned above.
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9. SSIF Romcapital S.A.
NSC (National Securities Commission) Decision no. D1188/ 10.09.1996
SSIF Authorization no. 2051/ 03.07.2003 (NSC)
Headquarter: Mihai Viteazu Blv., No. 30, Timisoara, Romania
Phone: +4 0356 80 30 00
Fax: +4 0356 80 30 80
Email: office@romcapital.ro
Bucharest Branch Cugir Agency
Address: Bv. Carol I. No. 34-36, Et. 12 Address: Doinei Str., Bl. S9C
Sector 2, Bucharest Alba-Iulia, Jud. Alba
Phone: +4 021 311 27 02 Phone: +4 0258 75 61 62
Fax: +4 021 312 67 57
Oradea Agency
Sibiu Branch Address: George Enescu Str. No. 6, Ap. 2
Address 1LFRODH %ÅOFHVFX 6WU 1R $S Oradea, Jud. Bihor
Sibiu Phone: +4 0259 44 64 48
Phone: +4 0369 40 70 67
Satu Mare Branch
Address: Vasile Lucaciu Str. No. 34
Satu Mare
Phone: +4 0361 88 16 50
www.romcapital.ro