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Statutory disclaimers

Regulatory Status

Satis Asset Management Limited is authorised and regulated by the Financial Conduct Authority (FCA):

Address: 12 Endeavour Square, Stratford, London, E20 1JN
Website: www.fca.org.uk

Satis Asset Management Limited trading as Satis Wealth Management are Independent Financial Advisers permitted by the FCA to advise on and arrange deals in pensions, savings and investment products under the registration number 761140. This can be verified by visiting the FCA register www.fca.org.uk/firms/systems-reporting/register or by contacting the FCA on 0800 111 6768.

Unless we notify you in writing to the contrary, we will be treating you as a “retail client”. This means that you are afforded the highest level of protection under the regulatory system and should have the right to take any complaint to the Financial Ombudsman Service (FOS). For more information about the FOS, please visit their website http://www.financial-ombudsman.org.uk.

The Financial Services Compensation Scheme (FSCS) is the UK’s statutory compensation fund for customers of authorised financial services firms who are unable to pay claims against them, usually because they have gone out of business. You may be able to claim compensation from the FSCS if Satis cannot meet our obligations. The amount of compensation available will depend on the type of business and the circumstances of the claim. We can provide more specific information on request, but as a guide eligible claims for most types of investment business are covered for up to a maximum of £85,000.

Further information is available from the FSCS at www.fscs.org.uk.

Documents

Complaints

We take care to maintain high standards of service. Where we become aware of client concerns or unease, we give priority to resolving the matter as quickly as possible and that your concerns are handled fairly and within reasonable timescales.

Best Execution

Satis Asset Management (Satis) are required to take all sufficient steps to provide best execution when carrying out transactions. Satis transmit orders on behalf of our clients to third parties such as platforms, fund managers or stockbrokers. Satis do not execute orders. This will be the role of the third party who in turn will have their own execution policy. This best execution policy therefore applies to the role of Satis in the transmission of orders in investments such as funds and securities.

Trading Venues Report

Where Satis send investment applications or orders on a client’s behalf to third parties (for example, to buy or sell investment holdings), Satis make every effort to ensure the best possible result for our clients. This is referred to as the best execution. We may transmit or place the order via a third party platform (an online investment administration service), directly with a fund manager or with a stockbroker, to execute your order.

Satis is obliged to disclose on an annual basis the top five firms that we send our client orders to. This report is for the period 06/04/2021 – 05/04/2022.

Privacy Notice

This policy sets out the basis on which the data Satis collects from our clients , or data that is provided to us, will be processed by Satis. Please read the following carefully to understand our views and practices regarding  personal data and how Satis will treat it.

Conflicts of Interest

Under FCA’s Principle for Business, Principle 8 (Conflicts of interest) Satis are required to pay due regard to the interests of each client and to prevent or manage any conflicts of interest fairly, both between our firm and our clients and between a client and another client. The specific rules for dealing with conflicts of interest can be found under the Senior Management Systems and Controls (SYSC) rules which can be found at SYSC 10.

Pillar 3 and BIPRU

This is the Pillar 3 disclosure made in accordance with the UK Financial Conduct Authority (FCA) Prudential Sourcebook for Banks, Building Societies and Investment Firms (‘BIPRU’).

The European Capital Requirements Directive (CRD) created a regulatory capital framework consisting of three ‘pillars’ namely;

  • Pillar 1 – which sets out the minimum capital requirements that firms are required to meet for;
  • Pillar 2 – which requires firms to take a view on whether additional capital should be held against capital risks not covered by Pillar 1; and
  • Pillar 3 – which requires firms to publish certain details of its risks, capital and risk management process.