NUKUNU
CAPITAL & Co
Risk Factors, Legal Proceedings, Forward Looking Statements, and Scope of Permitted Activities.
Risk Factors.
As a financial firm, results of Nukunu Capital & Co's operations may be affected by market fluctuations and economic factors. Results may also be affected by global factors, such as political and economic conditions, including geopolitical events; market conditions, particularly in the global equity, fixed income and credit markets, including corporate and mortgage (commercial and residential) markets; the level and volatility of equity prices, commodity prices and interest rates, currency values and other market indices; the availability and cost of both credit and capital as well as the credit ratings assigned to the firm for unsecured short-term and long-term debt; investor sentiment and confidence in the financial markets; the firm’s reputation; the actions and initiatives of current and potential competitors; and the impact of current, pending and future legislation, regulation, and technological changes in the U.S. and worldwide. Such factors also may have an impact on the firm’s ability to achieve its strategic objectives on a local and global basis.
International Risk: Nukunu Capital & Co will be subject to numerous political, economic, legal, operational, affiliation and other risks as a result of its international operations, particularly in our merchant banking operations which could adversely impact its businesses in many ways.
Affiliation Risk: Nukunu Capital & Co may be unable to fully capture the expected added value from any affiliations in the form of acquisitions, joint ventures, and strategic alliances with other firms.
Risk Management: Hedging strategies and other risk management techniques may not be fully effective in mitigating the risk exposure in all market environments or against all types of risk.
Competitive Environment: Nukunu Capital & Co face strong competition from other investment management, investment advisory, merchant banking, and major investment banking firms which could lead to pricing pressures that could materially adversely affect its revenue and profitability.
Talent: The ability to retain and attract qualified employees is critical to the success of the business of Nukunu Capital and the failure to do so may materially adversely affect its performance.
Supervision and Regulation: Nukunu Capital & Co may be subject to the supervision and regulation by FINRA, SEC, and the OCC, and in certain matters, by the Fed. The activities of Nukunu Capital & Co as an investment adviser may also subject to regulation under various U.S. federal laws, including Anti Money Laundering, Electronic Funds Transfer acts, as well as various state laws.
Legal Proceedings:
Nukunu Capital & Co is presently subject to no legal proceedings.
Forward-looking statements: We have included or incorporated by reference into this report, and from time to time may make in our financial statements, certain statements, including (without limitation) those under “legal proceedings”, and “forward-looking statements” within the meaning of the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. In addition, Nukunu Capital & Co may make forward-looking statements to investors and others. These forward-looking statements are not historical facts and represent only Nukunu Capital & Co beliefs regarding future events, many of which, by their nature, are inherently uncertain and beyond our control. The nature of Nukunu Capital & Co's businesses make predicting the future trends of our revenues, expenses and net income difficult. The risks and uncertainties involved in our businesses could affect the matters referred to in such statements, and it is possible that our actual results may differ from the anticipated results indicated in these forward-looking statements. Important factors that could cause actual results to differ from those in the forward looking statements include (without limitation): the effect of political and economic conditions including geopolitical events; the effect of market conditions, particularly in the global equity, fixed income, commodities and credit markets; the level and volatility of equity prices, commodity prices and interest rates, currency values and other market indices; the availability and cost of both credit and capital; investor sentiment and confidence in the financial markets; our reputation; the actions and initiatives of current and potential competitors; the impact of current, pending and future legislation, regulation, legal actions and technological changes and events in the U.S. and worldwide. Accordingly, you are cautioned not to place undue reliance on forward-looking statements, which speak only as of the date on which they are made. Nukunu Capital & Co's undertakes no obligation to update or revise any forward-looking statements to reflect the impact of circumstances or events that arise after the dates they are made, whether as a result of new information, future events or otherwise except as required by applicable law. You should, however, consult further disclosures Nukunu Capital & Co may make in future quarterly and annual reports. NUKUNU, NUKUNU Capital, and NUKUNU Capital & Co are trademarks or registered trademarks of NUKUNU Capital & Co in the United States and throughout the world. ©2014, NUKUNU.
Scope of permitted activities:
This is an evolving financial firm. However, we will always stay true to the fundamental values of the fiduciary responsibility that we as a firm hold to our investors. Recently we tried to register as an investment management, investment advisory and a commodity merchandising firm with FINRA. Our aim of doing so was due primarily to recent changes in US financial regulation, trends within the investment management sector, and our desire to be as transparent as we can to all our investors and our affiliates. We are no longer registered with FINRA. Our decision to not register was done in consultation with all the directors and other parties that are a part of NUKUNU Capital LLC and NUKUNU Capital & Co.