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Regulatory Disclosures

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Modern Slavery Act - Transparency Statement

We have a zero-tolerance to slavery, servitude, forced labour and human trafficking (Modern Slavery) and are committed to conducting business with honesty and integrity and treating everyone with dignity and respect.

We are committed to working with our partners and suppliers to raise awareness and understanding of modern slavery and eliminating the practice from the supply chain.

The statement in the link below is made on behalf of The Executive Office (GBR) LLP pursuant to section 54 of the Modern Slavery Act 2015 of the United Kingdom.

MiFID II

The revised Markets in Financial Instruments Directive II (MiFID II) and the accompanying Markets in Financial Instruments Regulation (MiFIR) is a European Directive that came into force on 3 January 2018.

It is a comprehensive regulatory regime which affects how firms carry out investment business and ancillary activities, organise their internal systems and controls, and conduct business with their customers across the European Economic Area.
Hence, we are required to provide the appropriate information in a comprehensive form to our clients about certain of these MiFID II provisions.

Gender Pay Gap

The UK Government Equalities Office has introduced legislation which, as of 4 April 2018, requires employers with 250 or more UK employees to publish certain information in respect of their gender pay gap.

While we are not bound by this regulation and the obligation to publish, nevertheless being passionate about fairness, equality and inclusion, we committed to reducing our gender pay gap and to achieving 50:50 gender balance (within a 10% tolerance) throughout the business.

Code of Business Conduct Policy Statement

The Executive Office (GBR) LLP and all its affiliates (hereinafter referred to as “TEO”, “We” or “Us”) are committed to maintaining the highest business standards in all our dealings with any third party.

The financial services market that TEO operates in is some of the most heavily regulated globally. Adherence to all applicable laws and regulations is therefore absolutely critical. We do not aim to simply comply with the letter of the law, it is our intention to adhere to the spirit and principles and embed these in our culture as part of our commitment to our customers and counterparties.

This code of business conduct (the "Code”), which has been approved by TEO Executive Body, sets out our core operating principles and values. All employees of TEO are committed to compliance with the Code and to pursuing our aims and core values.

Complaint Handling Process

The Executive office (GBR) LLP (“TEO”) takes all instances of client complaints very seriously, and as such has processes in place to ensure expeditious investigation and resolution. 

Where the complaint handling process makes references to “clients”, this reference is also equally applicable to “potential clients”. 

Any client complaints received by us will be dealt with impartially by the firms’ Compliance Department, who may contact the client for additional information as necessary, in order to ensure the complaint is handled as diligently as possible. 

The assessment of the Compliance Department will seek to determine: 

  • The subject matter of the complaint;
  • Whether the complaint should be upheld;
  • What remedial action and/or redress may be appropriate; and 
  • Whether there are reasonable grounds to be satisfied that another respondent may be solely or jointly responsible for the matter alleged in the complaint. 

All complaints received will be dealt with promptly, and clients will be contacted to acknowledge receipt and provide them with progress thereafter without undue delay if the complaint cannot be resolved immediately. 

Complaints received will be handled free of charge. 

Once all factors relevant to the complaint have been considered, TCO will communicate its decision to the client, informing the client of the outcome and all options available to the client to resolve the matter which has been raised. 

Client’s complaints may be submitted in writing to:

        The Chief Compliance Officer

        The Executive Office (GBR) LLP

        16 Old Queen Street

        London SW1H9HP

        United Kingdom 

or by e-mail to: Compliance@TheExecutiveOffice.com