Legal and regulatory.
AJB Wealth is a trading style of A J Buckley Asset Management Ltd, whose registered office is:
The Old Rectory
Registered in England and Wales, number: 2730015.
A J Buckley Asset Management Ltd is authorised and regulated by the Financial Conduct Authority (“the FCA”). Our FCA Register number is 154371 and our permitted business includes ‘managing investments’.
12 Endeavour Square
This company’s services, and any associated marketing, solicitation, implementation and administration will be solely conducted in, and from, the UK, under UK financial services regulations and in accordance with English law.
Terms and conditions
Our ‘General Terms and Conditions’ can be downloaded here.
Our ‘Discretionary Investment Management Client Agreement’ terms can be downloaded here.
Our ‘What we do and how we charge’ disclosure documents can be downloaded below:
Legal and regulatory policies and disclosures
Our latest legal and regulatory policies and disclosures can be downloaded below:
Pillar 3 disclosures
The following disclosures are made in accordance with the Pillar 3 disclosure rules, as laid out by the Financial Conduct Authority (“FCA”), following the Prudential Sourcebook for Banks, Building Societies and Investment Firms (“BIPRU”).
The document for the year ending 30 June 2021 can be downloaded here
All investments carry a risk of capital loss, and/or the underlying real value of the investment may also be eroded over time by inflation.
Please be aware that investments can fall, as well as rise, and that, should you invest through us, you may not get back the full amount invested. The price of investments we invest in may depend on fluctuations in the financial markets, or other economic factors, which are outside our control. Past performance is not a guide to future performance.
Consequently, the underlying real value of your investments may be eroded over time, notwithstanding the actual performance of the underlying investments. Unless expressly stated in writing, any investment mandate that we may recommend to you, expressly or by implication, will not provide any guarantee, or warranty, relating to financial return.
What if things go wrong?
If you are unhappy with any aspect of our services, we would encourage you to contact us as soon as possible, and we’ll do our best to resolve your concerns.
Concerns may be addressed, in writing, to:
The Compliance Officer
3 East Street
Our formal complaints procedure can be downloaded here. If you do have a complaint, and you are not happy with our final response, the Financial Ombudsman Service (FOS) may be able to help. The FOS settles disputes between financial services businesses and their clients. Full details are available at financial-ombudsman.org.uk.
Additional peace of mind
The Financial Services Compensation Scheme (FSCS) is the UK’s statutory compensation fund for clients of authorised financial services firms, who are unable to pay claims against them, usually because they have gone out of business.
You may be able to claim compensation from the FSCS, if we can’t meet our obligations. The amount of compensation available will depend on the type of business and the circumstances of the claim. Further information is available from the FSCS at fscs.org.uk.