AAC Platform Regulatory information
AAC Platform is a trading style of P1 Investment Management Ltd.
Treating Customers Fairly
Our Complaints Procedure
We truly hope that you will be delighted by the service you receive from the AAC Platform, but explain how we will handle any complaints we receive in our Complaints Procedure document. We value all feedback in helping us to improve our service to clients.You should address complaints to:
Paul White
Compliance Director
P1 Investment Services Limited
Senate Court
Southernhay Gardens
Exeter
EX1 1NT
Email: paulwhite@p1-im.co.uk
Telephone: 01392 429683
If we are unable to resolve your complaint, you may be able to refer the matter to the Financial Ombudsman Service. The Financial Ombudsman Service is free to use and you can read more about the service they provide on The Financial Ombudsman website.
Client Identification
We have responsibilities to verify the identity and permanent address of our clients under UK anti-money laundering legislation. We use online verification systems, such as Smartsearch and Onfido to establish our clients’ identity, which uses information obtained from Credit Reference agencies and other trusted sources. You can read further information about electronic searches here.
Conflicts of Interest
Best Execution
It is in the interests of our clients and the platform provider P1 Investment Services Limited that we obtain the best possible result when placing orders with other firms for the execution of client orders or when transmitting orders on behalf of clients. We are required under the Rules of the Financial Conduct Authority to take all reasonable steps to provide Best Execution when carrying out transactions and have published our Best Execution Policy that we have adopted to achieve that objective. With effect from 1st December 2021, we are no longer required by the FCA to publish an RTS 28 Annual Best Execution Report. If you require information on our execution venues, these can be found in the relevant policy. You can review the Order Execution Policy for the Platform here.
Financial Resource Requirements (Pillar 3 Disclosure)
Remuneration Code Statement
Shareholder Rights Directive II
The Shareholder Rights Directive II (SRDII) is a European Union directive, which sets out to strengthen the position of shareholders and to ensure that decisions are made for the long-term stability of a company. P1 Investment Management Limited are required by this Directive to explain whether or not we have an engagement policy in relation to the companies we invest in, where the companies’ shares are admitted to trading on a regulated market. As the proportion of shares we hold in investee companies is much lower than those held by large institutional investors, we do not have the opportunity to engage with investee companies to the extent envisaged by SRD II. Accordingly, we do not have an engagement policy.
Platform Information
The AAC Platform is provided by P1 Investment Services Limited. Important information regarding the Platform can be found here.
P1 Investment Services Limited is registered in England, registration number 09810560.
Registered Office: Senate Court, Southernhay Gardens, Exeter, Devon, EX1 1NT.
A list of directors is available for inspection at the Registered Office.
VAT No. 231 9416 20
Company Information
The AAC brand, logo and trademarks used by AAC Platform under licence from Arden Capital Limited, company registered in Scotland, registration number SC427391. Registered Office: 32a Hamilton Street, Saltcoats, Ayrshire.
Advanced Asset Consultants Ltd is authorised and regulated by the Financial Conduct Authority FCA Registration No: 506551
