Website Terms of Service

Version 2.0

Dated 23 November 2022

Introduction

By accessing this Oasis Pro Markets, LLC website you agree to be bound by our Terms of Service and Privacy Policy. Oasis Pro Markets, LLC makes no communication, through this website or in any other medium or website, that is to be construed as a recommendation for any security offered on this investment platform.

Right to make changes to the agreement

Oasis Pro Markets, LLC (OPM) may make changes to this agreement and other materials contained on its website at any time without notice. Oasis Pro Markets, LLC does not warrant that any materials on its website are complete and current.

User guidelines

Who can access the Oasis Pro Markets, LLC (OPM) Alternative Trading System (ATS)?

  • Only authorized Subscribers may access and trade on the Trading Platform ATS.
  • Anyone who meets the acceptable investor criteria can apply to be a Subscriber on the ATS. In order to become a Subscriber, each applicant must (i) be an accredited investor, (ii) provide certain information to OPM, including that information required in accordance with KYC and AML onboarding procedures, and (iii) meet all Subscriber Requirements.

How does a Subscriber access OPM ATS?

  • Subscribers access the Trading Platform from the Oasis Pro Markets, LLC website. Access to the trading platforms is restricted to authorized Subscribers that have completed onboarding.

Will Subscribers require special training to use the OPM ATS Trading Platform website?

  • Any Subscriber familiar with web-based applications can intuitively navigate through the different ATS menus via the ATS. ATS screens are designed to be responsive, i.e. adjust based on the screen size of the Subscriber's computers or mobile devices.

Can Subscribers share usernames and passwords?

  • Each Subscriber will have a private, exclusive and non-transferable username and password for accessing the ATS. Each Subscriber is responsible for safeguarding the confidentiality of the relevant Username and Password data and preventing unauthorized access to the ATS.

What if a Subscriber username and/or password is lost or stolen?

  • Any orders entered, trades executed or actions taken using the Username and Password of a Subscriber are the responsibility of said Subscriber. In the event of any security breach, or the loss of a Username and Password, Subscribers are obliged to report the matter to the Compliance Department of OPM immediately. Subscribers may also change their passwords at any time while logged into the ATS. It is recommended that Subscribers change their passwords frequently.

Does the OPM ATS have any login security protections?

  • OPM ATS is designed to prevent brute force attacks by limiting the number of times a user can enter incorrect Username/Password combinations. If a user exceeds the number of times they try to enter incorrect credentials, their account is locked and they are required to re-authenticate themselves and reset their password. Reauthentication procedures may involve involve two-form authentication and verification by OPM Compliance staff.

Oasis Pro Markets, LLC trademarks and service marks are the property of Oasis Pro Markets, LLC and you are permitted from using such marks without the express written consent of Oasis Pro Markets, LLC. All express written consents are to be sent to:

Robert Yap
Chief Compliance Officer
Oasis Pro Markets LLC
1 Thorndal Circle
Darien, CT 06820

Governing law

The Oasis Pro Markets, LLC Terms of Service are governed by and in accordance with the laws of the United States of America. If you are located outside of the United States of America, you should use this site at your own risk as you are responsible for compliance with all applicable local laws and regulations.

Warranty disclaimer

The Oasis Pro Markets, LLC site is provided to you on an “as is” basis. Oasis Pro Markets, LLC nor any of its affiliates, officers, directors, agents and employees makes any warranty, express or implied, of any kind whatsoever related to the adequacy, accuracy or completeness of any information on our website, or the use of information on our platform. By accessing our website you agree to be bound by these Terms of Service and the Oasis Pro Markets, LLC Privacy Policy.

Limitation of liability

You agree that, to the fullest extent permitted by law, in no event shall Oasis Pro Markets, LLC be liable for damages, losses and expenses, including without limitation direct or indirect, incidental, consequential or punitive damages, losses or expenses, damages for loss of profits, goodwill, use, data or other tangible loss, in connection with this website.

Oasis Pro Markets, LLC - Form CRS

Introduction
Oasis Pro Markets, LLC (“Oasis Pro Markets”) is registered with the Securities and
Exchange Commission as both a broker-dealer and an alternative trading system (“ATS”) and is a member of the Financial Industry Regulatory Authority and the Securities Investor Protection Corporation. Brokerage and investment advisory services fees differ, and it is important for you to understand the differences. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.


What investment services and advice can you provide me?
Description of Services - We offer brokerage services to retail investors on oasispromarkets.com. Oasis Pro Markets, a regulated ATS, allows its subscribers to trade digital (“blockchain”) securities and make payment for those digital securities in digital cash (e.g., stablecoins such as USDC and DAI) or fiat currency.

  1. Issuers can offer and sell registered and unregistered securities on the
    oasispromarkets.com primary offerings platform (“Marketplace”). These securities are being offered by specific issuers and it’s the responsibility of the issuer to provide all pertinent information about these securities offerings.
    Please be aware that investing in private, unregistered securities is speculative and involves a high degree of risk. Private, unregistered securities are illiquid and could be subject to holding periods that may hinder your ability to sell such securities. In addition, the securities offered on our Marketplace may be represented or issued on a blockchain in digital form (“digital securities”), which may include additional risks. For example, you may be limited in your ability to sell any digital securities purchased on the Marketplace.
  2. Our ATS, allows its subscribers to trade digital securities and make payment for those digital securities in digital cash (e.g., stablecoins such as USDC and DAI) or fiat currency. Oasis Pro Markets’ ATS is authorized to allow its subscribers to:
    - Trade both registered and unregistered securities (subject to applicable
    exemption) on the ATS;
    - Trade digital securities over-the-counter; and
    - Trade both equity and debt digital securities.

    Eligibility to buy and sell securities on Oasis Pro Markets’ ATS is determined by Oasis Pro Markets, LLC. Neither Oasis Pro Markets nor any of its affiliates, officers, directors, agents, and employees make any warranty of any kind related to the adequacy or completeness of the information on our website.
    We do not monitor your investments. We do not provide investment advice or recommend any securities on our platform. Oasis Pro Markets does not offer traditional retail brokerage services. Accordingly, we do not trade, open or hold investor accounts, securities or funds, nor do we monitor your investments. You make the ultimate decision about any purchase or sale of investments.

    Conversation Starters. Ask your financial professional:
    • Given my financial situation, should I choose a brokerage service? Why or why not?
    • What is the difference between a traditional broker-dealer and your ATS?
    • What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?

    What fees will I pay?
    Description of Fees and Costs - You may pay Oasis Pro Markets a fee every time you buy or sell an investment on its ATS. For secondary transactions on the ATS or where we are an agent, buyers and sellers may be charged up to 2% of the gross transaction price for each transaction. This fee, commonly referred to as a “commission” or “secondary market fee”, is based on the specific transaction and not the value of your account. We have an incentive to encourage you to trade more frequently on the ATS since the more you trade, the more fees we will earn.

    Additional Information - You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.

    Conversation Starter. Ask your financial professional:
    • Help me understand how these fees and costs might affect my investments.
    • If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

    What are your legal obligations to me and what conflicts of interest do you have?
    Conflicts of Interest - We may, at times, make recommendations regarding securities in connection with certain private placement offerings. The way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the service(s) we provide you. Here are some examples to help you understand what this
    means:
    • We may receive compensation from an issuer of securities for placing or selling their securities and/or providing financial consulting services. Oasis Pro Markets or one of its affiliates may have other business relationships with an issuer (or its affiliates).
    • On Oasis Pro Markets’ ATS, we receive fees based on the frequency and size of trades, regardless of whether you make or lose money on your investments.

    Conversation Starter. Ask your financial professional:
    • How might your conflicts of interest affect me?
    • How will you address any conflicts of interest?

    How do your financial professionals make money?
    Description of How Financial Professionals Make Money - The compensation to our financial professionals is comprised of salary and discretionary bonus. The bonus is based on the firm’s overall revenue, and it is also based on the financial professional’s job performance.

    Do you or your financial professionals have legal or disciplinary history?
    No. Please visit www.Investor.gov/CRS for a free and simple search tool to research our firm and financial professionals.

    Conversation Starter. Ask your financial professional:
    • As a financial professional, do you have any disciplinary history? For what type of conduct?

    Additional information
    For more information on Oasis Pro Markets, please visit: https://brokercheck.finra.org/ and https://www.oasispromarkets.com/. Please contact us at (203) 309-5009 for up-to-date information and to request a copy of the FORM CRS.

    Questions to ask us:
    • Who is my primary contact person?
    • Is he or she a representative of the broker-dealer?
    • Who can I talk to if I have concerns about how this person is treating me?

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