Regulatory Disclosures

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 eliminate 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.

Modern Slavery Statement 2023

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 regarding 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 achieving a 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. Although we do not simply aim to comply with the letter of the law, we intend 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"), approved by the 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.

Code of Business Conduct

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 we receive will be dealt with impartially by the TEO’s Compliance Oversight Officer, who may contact the client for additional information necessary to ensure the complaint is handled as diligently as possible.

The assessment of TEO’s Compliance Oversight Officer will seek to determine the following:

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. Clients will be contacted to acknowledge receipt and provide them with progress 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 them of the outcome and all options available to resolve the matter.

Client’s complaints may be submitted in writing to:

The Compliance Oversight Officer

The Executive Office (GBR) LLP

78-79 Pall-Mall

London SW1Y 5ES

United Kingdom

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

Regulatory Disclosures

Modern Slavery Act - Transparency Statement

Gender Pay Gap

Code of Business Conduct Policy Statement

Complaint Handling Process

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