For the above type of investment, we only sent orders to one broker, therefore there are fewer than five brokers to report.
Part 2: Monitoring and Review
We have entered into contracts with our trading partners in order to provide our service. Due diligence is conducted by both parties to confirm acceptance of the roles to be carried out. We also have a best execution policy. Please ask, if you would like to view a copy of our policy. Under the terms of our policy, we regularly assess the appropriateness of our trading partners to ensure compliance.
We undertake periodic monitoring to make sure that they continue to meet our requirements. This review is carried out at least annually or whenever a significant change occurs that we feel could affect our ability to continue to obtain the best possible results.
As clients are recommended our service via financial intermediaries and all clients are classed as Retail clients.
Should you require any additional information please write to:
The Compliance Manager
1 Queen’s Square,
Ascot Business Park,
Or alternatively email email@example.com
4th August 2021