We provide investment services exclusively to certain classes of clients and we ask that you confirm that you meet the minimum criteria by completing the relevant disclosure form which can be downloaded here.


Before making a detailed investment recommendation we would normally require completion of a financial review questionnaire to ensure that our recommendations are the most appropriate to suit individual circumstances. 

 

When this cannot be done, or is not relevant, business will be transacted on either an execution only basis (i.e. directly on the client’s instructions) or on the basis that the Company’s recommendations were made on restricted information and its responsibility will be, naturally, limited accordingly.

 

Custody and Clearing

We use Pershing LLC (Pershing), a BNY Mellon company for all custody and clearing of client account assets. For further information please click here  to download the brochure "Working Behind the Scenes"

 

Protection of Client Assets

Working on our behalf, Pershing LLC takes great pride in supporting our customers and makes every effort to ensure your brokerage accounts assets are protected. Pershing is a subsidiary of BNY Mellon, one of the world's largest financial organisations.

 

Pershing is a member of the Securities Investor Protection Corporation (SIPC). As a result, securities in your account are protected up to $500,000 (of which $250,000 can be for claims for cash awaiting reinvestment). For further details, please go to www.sipc.org.

 

In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits from Lloyd's of London, in conjunction with other insurers as follows:

 

-  An aggregate loss limit of $1 billion for eligible securities - across all client accounts

-  A per-client loss limit of $1.9 million for cash awaiting reinvestment- within the aggregate loss limit of $1 billion.

 

Please note that neither SIPC nor the excess of SIPC coverage protects against loss due to market fluctuation of investments. Additional information can be found at the following links ECINS-PER-SIPC and Pershing-Strength-and-Stability

 

Understanding Your Statement

This brochure will help you to review and familiarise yourself with your monthly statement's features and benefits. Please click here

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