Legal and regulatory information (UK)

• Best interest contract exemption
• CGWL Candidate privacy notice
• Client asset protection 
• Complaints handling policy
• Conflicts policy
• Diversity policy
• Excess reportable income and income equalisation
• Financial planning order reception and transmission 
• Investment recommendations disclosures
• Market Sounding process (CGWL)
• Modern Slavery Act
• Order Execution Policy (CGWL)
• Pillar 3 disclosures (CGWL)
• Pillar 3 disclosures (HHL)
• Privacy notice
• RTS 28 report 2020 (CGWL)
• RTS 28 report 2019 (CGWPL)
• Schedule of interest and charges
• Stewardship code (CGWL,CGFPL, CGWPL)
• Terms of Business for Canaccord Genuity Financial Planning Limited
• Terms of Business for Canaccord Genuity Wealth Limited
• Central securities Depositories Regulation (CSDR)

The EU Shareholders Rights Directive (SRD II), effective 10 June 2019, requires firms to provide a shareholder engagement policy. Such a policy, if considered appropriate for the business undertaken, will explain how we engage with investee companies. Canaccord Genuity Wealth Management is currently considering the application of this regulation and the extent to which it applies to our various businesses. We will provide updates when available.