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Legal and regulatory

Important legal and regulatory information

Terms of use

Before using this website, you should read the following important information carefully. This information governs your use of this website. By using this website, you indicate that you accept these terms of use and that you agree to be bound by them. If you do not agree, please do not use our website. The content of this website, including these terms, may be changed by us without notice, and you should check this page from time to time.

Regulatory information

FNZ Securities Limited (FNZS) is authorised and regulated by the Financial Conduct Authority (FCA) . Our FCA registration details are set out in the FCA Register under Firm Reference number 733400. 

 

FNZS is registered in England and Wales (registered number 09486463) and our registered office is Suite 1, Third Floor, 11 -12  St. James' Square, London SW1Y 4LB.  

Suitability

FNZ Securities does not provide any advice. The information contained in this website should not be regarded as advice or an offer, invitation or solicitation to enter into any financial obligation, activity or promotion of any kind as defined by the Financial Services and Markets Act 2000. The provision of any investment services and products, whether or not mentioned in this website, may not always be suitable for an investor, and we recommend that any potential investor consults a financial adviser before entering into any investment contract.

Privacy Policy

We are committed to protecting your privacy. Information we collect about you will be used to send you details of our products or services that you have requested. By using this website you agree to the use of your information as set out in this statement. We are registered, and process your data, in accordance with the General Data Protection Regulations ("GDPR"). You have certain rights under the GDPR in respect of the information we hold about you. Our privacy policy and how we collect, process and store any information as well as your rights as our clients can be found below.

Cookie Policy

This website uses cookies. Cookies are small amounts of information that are stored on your computer to enable our server to collect certain information from your web browser. Cookies in themselves do not identify the individual, just the computer used. Cookies and other similar technology make it easier for you to log on to and use the website during future visits. Our cookies are used to keep track of your online session, they are maintained throughout multiple sessions on the site. Our cookies do not collect any personal identifying information or confidential information such as passwords or policy numbers. Most browsers are initially set to accept cookies, but you can alter this if you prefer. However, if you disable session cookies some parts of our website will not function as designed. Please visit http://www.allaboutcookies.org/manage-cookies

Jurisdiction

The website of FNZ Securities is intended for persons in the United Kingdom only, and its content should not be regarded as an invitation or inducement to engage in investment activity, as defined by the Financial Services and Markets Act 2000 to persons in any other jurisdiction. These terms of use shall be governed by and construed in accordance with English law.

 

Copyright

You may use information on this website for your own personal reference only. All information and material on this website is copyrighted to FNZ Securities Ltd.

The information on this website is provided in good faith and no representation, guarantee or warranty is made by us as to its accuracy. We shall not be liable for any loss or damage arising out of the use of or reliance on the information contained in our website. This does not affect our duty or liability to you which we have under the Financial Services and Markets Act 2000 or under the regulatory system. FNZ Securities accepts no liability for information contained within websites provided by third parties that may have links to or from our website.

Complaints Procedure

We take care to maintain high standards of service. If we are aware of client concerns or unease, we give priority to resolving the matter as quickly as possible. To assist with this process we have prepared procedures to ensure that complaints are handled fairly and within reasonable timescales. The below is a summary of our complaint handling procedure. A copy of our full procedure is available on request.

How to make a complaint.

If you have a complaint about us and/or our services, you should direct this in the first instance to your investment manager. If you are uncomfortable doing so, your complaint can be directed to the Chief Executive Officer. You can complain in writing, by telephone, or via e-mail. Details can be found on the Contact Us page.

What happens after I have complained?

Upon receipt of a complaint, a senior person who, where possible is independent of the case, will investigate the complaint. You will be given the name and contact details of the person dealing with your complaint. We will aim to resolve the complaint as quickly as possible. The person investigating your complaint will;

  • Initiate a record and file of your complaint; and
  • Acknowledge your complaint as soon as is reasonably practicable after the receipt of your complaint. This will generally be within 5 working days of receipt.

The acknowledgement may, especially in the case of an oral complaint, set out the nature of the complaint and may request further clarification if necessary. Your complaint will be investigated using our files together with reports from other parties if relevant. We may also write to you if further information is required.

We will keep you informed of the progress of the complaint investigation. After eight weeks, if a final response letter has not already been sent to you, you will receive a final response letter detailing our conclusions and resolution to the complaint. If we are not in a position to make a final response, we will give the reasons for the delay and will indicate when we expect to be able to provide a full response.

What if I am still not satisfied?

Within our final response letter to you, we will include details of the Financial Ombudsman Service (the “FOS”) whom, provided you are an eligible complainant, you have the right to right to refer a complaint if you are not satisfied with our response. Any referral to the FOS must be made within 6 months of receiving our final response. Further information about the FOS and whether you are an eligible complainant can be found at http://www.financial-ombudsman.org.uk

 

Pillar III Disclosures as at 31.03.2021

FNZ Securities Limited (FNZS)is subject to the capital adequacy requirements set by the UK Capital Requirements Regulation (UK CRR) and The Financial Conduct Authority (FCA) Prudential Sourcebook for Investment Firms (IFPRU). These regulations establish the framework for prudential management and include components that require firms, including FNZS, to assess their financial resources. Pillar 3  requires firms to disclose information regarding their risk management and policies, own funds and capital requirements. This Pillar 3 disclosure has been prepared in accordance with UK CRR and IFPRU. Please refer to the following link for FNZS’ Pillar 3 disclosures.

 

FNZ Securities 31 March 2021 Pillar 3 disclosures
FNZ Securities 31 March 2021 Pillar 3 di[...]
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FNZ Securities Privacy Policy
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