Regulatory Requirements
Jurisdiction
Nothing in this website is intended to constitute a distribution or an offer or solicitation to buy or sell shares or to provide services in any jurisdiction in which such activity would be contrary to local law or regulations. Accordingly, persons who are not resident in the UK or who are nominees of or trustees for citizens, residents or nationals of other countries and who access our website are required to inform themselves of any comply with any such laws or regulations. All of our services are subject to change without notice. You agree that we shall not be liable to your or to any third party for any amendment, modification, suspension or discontinuance of any products or services described on our website.
The Retail Distribution Review
The Retail Distribution Review (RDR) is the strategy of the former Financial Services Authority that came into force on 1 January 2013. The new regulations are now the responsibility of the new Financial Conduct Authority, and principally stated that financial advisers can no longer be remunerated by commission, and that their business propositions should be clear as to whether they are independent or restricted in terms of their coverage of the advice market.
Security of Assets
4 Shires Asset Management Limited has no lien over any client monies. Securities managed on behalf of customers by 4 Shires Asset Management are held by an independent nominee company, Jarvis Investment Management Limited, who act as custodian of client assets.
Compensation Schemes
4 Shires Asset Management Limited are participants in the UK Financial Services Compensation Scheme which provides protection to customers in the event that an investment firm is unable to meet its obligations, up to £85,000 per person. More information can be found at www.fscs.org.uk.