Investor Protection – Block Stream Investment

Investor Protection

Investment firms like Block Stream are subject to financial regulation. In the UK, this includes MiFID II and other applicable regulations. This supervision provides additional protection for investors by making sure financial institutions follow established rules and requirements.

Increased protection for investors thanks to a regulated environment

Investors are protected for up to $100 000 under the investor compensation scheme

Your assets are held separately from Block Stream assets

Safeguarding Investor Assets

Blockstream is committed to the protection and accurate management of investor assets. We maintain precise records and accounts that clearly separate all Notes and investor funds from Blockstream’s own assets. To ensure the utmost security, Blockstream regularly reconciles its internal records and implements stringent controls to minimize the risk of loss for our investors.

All financial instruments belonging to investors are securely held in their individual financial instrument accounts, entirely separate from Blockstream’s assets. Investor funds are safeguarded in dedicated accounts at licensed banks within EU countries. These funds are strictly used to execute investors’ orders, whether to invest, withdraw, or cover applicable fees and charges. They are protected and held distinctly apart from Blockstream’s assets, ensuring that creditors have no claim over these funds.

Clear and Accessible Information for Investors

Blockstream is committed to the protection and accurate management of investor assets. We maintain precise records and accounts that clearly separate all Notes and investor funds from Blockstream’s own assets. To ensure the utmost security, Blockstream regularly reconciles its internal records and implements stringent controls to minimize the risk of loss for our investors. All financial instruments belonging to investors are securely held in their individual financial instrument accounts, entirely separate from Blockstream’s assets. Investor funds are safeguarded in dedicated accounts at licensed banks within EU countries. These funds are strictly used to execute investors’ orders, whether to invest, withdraw, or cover applicable fees and charges. They are protected and held distinctly apart from Blockstream’s assets, ensuring that creditors have no claim over these funds.

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Carefully consider the risk factors, investment objectives, fees, expenses, and other information associated with each of the following: Blockstream 10 Crypto Index Fund, Blockstream 10 ex Bitcoin Crypto Index Fund, Blockstream 10 Crypto Index Fund (non-OTC Trust), Blockstream Blue-Chip NFT Index Fund, Blockstream DeFi Crypto Index Fund, Blockstream 10 Index Offshore Fund, Ltd., Digital Asset Index Fund, LLC, Blockstream Aave Fund, Blockstream Bitcoin Fund, Blockstream Compound Fund, Blockstream Ethereum Fund, LLC, Blockstream Polygon Fund, and Blockstream Uniswap Fund (collectively the “Funds”) or the units or shares of said Funds (the “Shares”) before making an investment decision regarding any of the Funds. Such risk factors, investment objectives, fees, expenses and other important information can be found in each Fund’s Private Placement Memorandum, which can be obtained from Blockstream Asset Management, Inc. and its affiliates (collectively “Blockstream”). For the Blockstream 10 Crypto Index Fund (Symbol: Blockstream), the shares of which are registered with the Securities and Exchange Commission pursuant to Section12(g) of the Securities and Exchange Act of 1934, as amended, and are quoted on the OTCQX, the public filings and disclosures can be located on the website of the Securities and Exchange Commission at www.sec.gov. Such documents may not contain all of the information necessary for a prospective investor to make a fully informed investment decision, and all investors are encouraged to read all available documents prior to making an investment decision.

All Funds are speculative investments that involve a high degree of risk and uncertainty. Certain products may be limited to investment by accredited investors who can afford loss of the entire investment. For the Blockstream 10 Crypto Index Fund (Symbol: Blockstream), which has Shares available for trading on the OTCQX Best Market, there can be no assurance that the value of the Shares, if traded on this secondary market, will reflect the value of the Trust’s net assets. Such Shares may trade at a substantial premium over, or a substantial discount to, the value of the Trust’s net assets, because, among other factors, such Funds do not currently operate a redemption program, and because, among other factors, such Funds’ Shares when initially issued are subject to the holding period under Rule 144 of the Securities Act. As a result of these factors, there is no arbitrage mechanism to keep the price of the Shares closely linked to the value of the Trust’s net assets, and therefore the performance of the Funds’ Shares may deviate significantly from the performance of the Funds’ Net Asset Value per share (“NAV”). There is no guarantee that any Fund will meet its investment objective.

Certain of the Blockstream investment products may be subject to the risks associated with investing in crypto assets, including cryptocurrencies and crypto tokens. Because crypto assets are a new technological innovation with a limited history, they are a highly speculative asset. Future regulatory actions or policies may limit the ability to sell, exchange or use a crypto asset. The price of a crypto asset may be impacted by the transactions of a small number of holders of such crypto asset. Crypto assets may decline in popularity, acceptance or use, which may impact their price. NFTs are an extremely new artistic and cultural phenomenon, and interest in such artwork could wane. If the demand for NFT artwork diminishes, the prices of NFT items could be negatively affected. The market for NFTs can be subject to shallow trade volume, extreme hoarding, low liquidity and high bankruptcy risk. NFTs are also subject to risks and challenges associated with intellectual property rights and fraud.

Prior to making any investment decision in respect of any Fund or Shares of any Fund, each investor must undertake its own independent examination and investigation of the Fund, including the merits and risks involved in an investment in the Fund or Shares, and must base its investment decision, including a determination of whether the Fund would be a suitable investment for the investor, on such examination and investigation and must not rely on Blockstream or the Funds in making such investment decision. Prospective investors must not construe the contents of this website as legal, tax, investment, or other advice. Each prospective investor is urged to consult with its own advisors with respect to legal, tax, regulatory, financial, accounting and similar consequences of investing in any Fund, the suitability of the investment for such investor and other relevant matters concerning an investment in any Fund.

This website contains an overview summary of the terms of each Fund. This website is neither an offer to sell nor a solicitation to buy units or shares in any Fund. Any such offer or solicitation will be made solely through definitive offering documents, identified as such, which will contain information about each Fund’s investment objectives and terms and conditions of an investment and may also describe risks and tax information related to an investment therein, and which will qualify in their entirety the information set forth on this website. The summary set forth on this website does not purport to be complete, and is qualified in its entirety by reference to the definitive offering documents relating to each Fund. Do not place undue reliance on this website.

The Shares of any Fund have not been approved or disapproved by the Securities and Exchange Commission, are not registered under the Securities Act of 1933 (the “Securities Act”), the Investment Company Act of 1940 (the “Investment Company Act”), or any state securities commission or other regulatory body. Blockstream is not registered as an Investment Adviser under the Investment Advisers Act of 1940 (the “Advisers Act”), and is not registered as a Commodity Pool Operator or Commodity Trading Adviser under the Commodity Exchange Act (the “Commodity Exchange Act”).

Shares of each Fund that are available in private placements are offered pursuant to the exemption from registration provided by Section 4(a)(2) of the Securities Act of 1933 and Rule 506 of Regulation D promulgated thereunder and other exemptions of similar import in the laws of the states and jurisdictions where the offering will be made, and are only issued and sold directly by the Fund to accredited investors. As a result, the Shares of each such Fund when initially sold are restricted and subject to significant limitations on transfer and resale.

Prospective investors in any Fund should very carefully consider such risks prior to making any investment decision, including the fact that certain Funds may not offer a redemption program if the shares of the Fund are traded on a secondary market. The Shares of Funds that are publicly quoted on the OTCQX Best Market are Shares that have become “unrestricted” under Rule 144 of the Securities Act (although Shares held by affiliates and insiders will be subject to additional restrictions on resales, including restrictions on the number of Shares that may be resold within any three-month period). Shares that have become unrestricted after the statutory holding period may be quoted on the OTCQX Best Market and may be purchased and sold throughout the trading day through any brokerage account with access to such markets.