Disclosures

Announcements
ANNOUNCEMENT_IVESTOR WARNINGS (33.09 KB)
COMPANY’S POLICIES AND PROCEDURES
TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (290.69 KB)
APPENDIX 1 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (200.59 KB)
APPENDIX 2 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (113.6 KB)
APPENDIX 3.1 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (95.91 KB)
APPENDIX 3.2 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (105.01 KB)
APPENDIX 3.3 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (102.56 KB)
APPENDIX 3.4 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (103.85 KB)
APPENDIX 4 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (105.26 KB)
APPENDIX 5 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (200.02 KB)
APPENDIX 6 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (192.67 KB)
APPENDIX 7 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (198.18 KB)
APPENDIX 8 TO TERMS OF BUSINESS FOR PORTFOLIO MANAGEMENT (88.12 KB)
TERMS OF BUSINESS FOR BROKERAGE (330.25 KB)
APPENDIX 1 TO TERMS OF BUSINESS FOR BROKERAGE (200.59 KB)
APPENDIX 2 TO TERMS OF BUSINESS FOR BROKERAGE (113.55 KB)
APPENDIX 3 TO TERMS OF BUSINESS FOR BROKERAGE (189.12 KB)
APPENDIX 4 TO TERMS OF BUSINESS FOR BROKERAGE (193.67 KB)
APPENDIX 5 TO TERMS OF BUSINESS FOR BROKERAGE (200.02 KB)
APPENDIX 6 TO TERMS OF BUSINESS FOR BROKERAGE (187.6 KB)
BEST EXECUTION POLICY (297.42 KB)
CONFLICTS OF INTEREST POLICY (173.33 KB)
RISK DISCLOSURE BOOKLET (830.79 KB)
CLIENT CATEGORIZATION POLICY (146.78 KB)
CLIENTS COMPLAINTS PROCEDURE (135 KB)
PRODUCT DISTRIBUTION POLICY (243.37 KB)
APPENDIX 1 EQUITIES OTHER THAN PENNY STOCKS AND PINK SHEET STOCKS (258.75 KB)
APPENDIX 2 PENNY STOCKS AND PINK SHEET STOCKS (261.14 KB)
APPENDIX 3 DEPOSITARY RECEIPTS (GDR, ADR) (259.69 KB)
APPENDIX 4 UNITS IN COLLECTIVE INVESTMENT UNDERTAKINGS (259.51 KB)
APPENDIX 5 EXCHANGE TRADED FUNDS NON-LEVERAGED (260.19 KB)
APPENDIX 6 EXCHANGE TRADED FUNDS USING LEVERAGE (260.38 KB)
APPENDIX 7 EXCHANGE TRADED NOTES (260.62 KB)
APPENDIX 8 EXCHANGE TRADED COMMODITIES (264.54 KB)
APPENDIX 9 CERTIFICATES OF DEPOSIT (260.08 KB)
APPENDIX 10 SOVEREIGN (GOVERNMENT) BONDS AND OTHER PUBLIC BONDS (259.25 KB)
APPENDIX 11 CORPORATE BONDS INVESTMENT GRADE (262.98 KB)
APPENDIX 12 CORPORATE BONDS NON-INVESTMENT GRADE (261.98 KB)
APPENDIX 13 STOCKS AND BONDS DERIVATIVES (FUTURES, OPTIONS) (263.3 KB)
APPENDIX 14 ETF DERIVATIVES (FUTURES, OPTIONS) (262.4 KB)
APPENDIX 15 STOCK INDEX DERIVATIVES (FUTURES, OPTIONS) (264.32 KB)
APPENDIX 16 VOLATILITY INDEX DERIVATIVES (FUTURES, OPTIONS) (265.47 KB)
APPENDIX 17 CURRENCY (FX) DERIVATIVES (FUTURES, OPTIONS) (263.6 KB)
APPENDIX 18 COMMODITY DERIVATIVES (FUTURES, OPTIONS) (264.18 KB)
APPENDIX 19 OTHER DERIVATIVES (FUTURES, OPTIONS) (262.46 KB)
INDUCEMENTS POLICY (187.03 KB)
INVESTOR COMPENSATION FUND (117.88 KB)
SUSTAINABILITY RISK POLICY (176.26 KB)
LIST OF REQUIRED DOCUMENTS FOR ACCOUNT OPENING (115.72 KB)
PILLAR III DISCLOSURES
PILLAR III DISCLOSURES 2023 (1.18 MB)
Pillar III Disclosures 2022 (1.18 MB)
PILLAR III DISCLOSURES 2021 (1.16 MB)
TOP 5 EXECUTION VENUES/BROKERS AND QUALITY OF EXECUTION
QUALITY OF EXECUTION SUMMARY 2023 (139.57 KB)
TOP 5 EXECUTION VENUES 2023 PROFESSIONAL CLIENTS (23.28 KB)
TOP 5 EXECUTION BROKERS 2023 PROFESSIONAL CLIENTS (22.06 KB)
TOP 5 EXECUTION VENUES 2023 RETAIL CLIENTS (9.24 KB)
TOP 5 EXECUTION BROKERS 2023 RETAIL CLIENTS (9.12 KB)
TOP 5 EXECUTION VENUES IN SECURITIES FINANCING TRANSACTIONS 2023 PROFESSIONAL CLIENTS (14.54 KB)
TOP 5 EXECUTION BROKERS IN SECURITIES FINANCING TRANSACTIONS 2023 PROFESSIONAL CLIENTS (13.56 KB)
Quality of execution summary 2022 (139.58 KB)
Top 5 execution venues 2022 professional clients (28.5 KB)
Top 5 execution brokers 2022 professional clients (22.15 KB)
Top 5 execution venues 2022 retail clients (9.24 KB)
Top 5 execution brokers 2022 retail clients (12.83 KB)
Top 5 execution venues in securities financing transactions 2022 professional clients (14.82 KB)
Top 5 execution brokers in securities financing transactions 2022 professional clients (13.56 KB)
Quality of execution summary 2021 (141.83 KB)
Top 5 execution venues 2021 professional clients (21.83 KB)
Top 5 execution brokers 2021 professional clients (20.34 KB)
Top 5 execution venues 2021 retail clients (9.24 KB)
Top 5 execution brokers 2021 retail clients (9.12 KB)
Top 5 execution venues in securities financing transactions 2021 professional clients (14.81 KB)
Top 5 execution brokers in securities financing transactions 2021 professional clients (13.56 KB)
Quality of execution summary 2020 (154 KB)
Top 5 execution venues 2020 professional clients (23.84 KB)
Top 5 execution brokers 2020 professional clients (22.43 KB)
Top 5 execution venues 2020 retail clients (9.23 KB)
Top 5 execution brokers 2020 retail clients (9.12 KB)
Top 5 execution venues in securities financing transactions 2020 professional clients (14.73 KB)
Top 5 execution brokers in securities financing transactions 2020 professional clients (13.56 KB)
Quality of execution summary 2019 (372.84 KB)
Top 5 execution venues 2019 professional clients (23.72 KB)
Top 5 execution brokers 2019 professional clients (22.37 KB)
Top 5 execution venues 2019 retail clients (9.13 KB)
Top 5 execution brokers 2019 retail clients (9.12 KB)
Top 5 execution venues in securities financing transactions 2019 professional clients (14.54 KB)
Top 5 execution brokers in securities financing transactions 2019 professional clients (13.69 KB)
Quality of execution summary 2018 (151.77 KB)
Top 5 execution venues 2018 professional clients (23.2 KB)
Top 5 execution brokers 2018 professional clients (22.2 KB)
Top 5 execution venues in securities financing transactions 2018 (14.41 KB)
Top 5 execution brokers in securities financing transactions 2018 (13.71 KB)
TOP 5 EXECUTION VENUES 2017 RETAIL CLIENTS.PDF (38.35 KB)
TOP 5 EXECUTION VENUES 2017 RETAIL CLIENTS.XLSX (8.97 KB)
TOP 5 EXECUTION BROKERS 2017 RETAIL CLIENTS.PDF (38.35 KB)
TOP 5 EXECUTION BROKERS 2017 RETAIL CLIENTS.PDF (8.97 KB)
Quality of Execution Summary 2017 (189.19 KB)

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