Regulatory Information & Disclosures

Treating Customers Fairly

We believe in treating customers fairly. We want you to be confident that you are dealing with a firm where the fair treatment of customers is central to our corporate culture.

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Capital Requirements – Pillar 3 Disclosures

Based on the 2006 Capital Requirements Directive this page details how each of the 3 Pillars of the framework are met by Margetts.

This section details our minimum capital requirements according to the different levels of risk that we are exposed to and the amount of reserves held to meet these requirements.

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Retail Distribution Review

Following the Retail Distribution Review new rules came into force on 1 January 2013.

This section covers the changes and how this may affect our relationship with you.

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Remuneration Policy

Margetts is committed to aligning the interests of our employees with the business strategy, objectives, values and long-term interests of the firm.

This section covers our policy.

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Stewardship Policy

Since 2010, fund managers have been required to set out how they will engage with companies in which they hold investments.  The aim is to better understand and scrutinise the strategies and plans of companies and so help improve long term returns for the benefit of investors.

Our Stewardship Policy details these arrangements and also their relevance.

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Sub-delegates of BNY Mellon

The list of sub-delegates used by BNY Mellon, our trustee and depositary, are detailed in the table.

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RTS28 and Article 65(6) Reports

The report allows the reader to assess the quality of our execution practices and identify the top investment firms in terms of trading volumes for client orders placed for execution during the year.

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Order Execution Policy

The policy confirms the approach taken by Margetts when placing and executing orders on behalf of its managed funds and the priorities that apply depending on the type of underlying security.

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