Compliance & Legal

 

Compliance & MiFID

Guy Butler Ltd are regulated by the Financial Conduct Authority (FCA). Following the implementation of the Markets in Financial Instruments Directive (MiFID) in the UK, we are required by the FCA to provide terms of business, classification of client, and a best execution policy, to clients in addition to a consent form for trading outside a regulated market. These documents are provided below:

Download Terms of Business

Download Execution Policy

Download Designated Investments Risk Statement

Download Conflicts of Interest Policy

Pillar Three information is available in the annual report