Legal & Regulatory Information

No Advice

The information on this site is provided solely on the basis that you make your own investment decisions and does not constitute a personal recommendation or investment advice. Should you have any queries about the investment fund referred to on this site, you should contact your financial adviser.

Risk Factors

The information on this site is provided solely on the basis that you make your own investment decisions and does not constitute a personal recommendation or investment advice. Should you have any queries about the investment fund referred to on this site, you should contact your financial adviser.

Accuracy of Information

The information contained on this site (including any expression of opinion or forecast) has been obtained from, or is based on, sources believed by SMPW to be reliable, but is not guaranteed as to its accuracy or completeness. Such information is provided without obligation on the part of SMPW and its associated companies and on the understanding that any person who acts upon it or changes his investment position in reliance on it does so entirely at his own risk. Information posted on this site is current only as at the date it is first posted and may no longer be true or complete when viewed by you. All information contained on this site may be changed or amended without prior notice.

Copyright and Trademarks

Copyright, trademarks, database rights, patents and all similar rights in this site and the information contained in it are owned by SMPW, its licensors or relevant third party content providers. You may use the information on this site and reproduce it in hard copy for your personal reference only. Such information may not otherwise be reproduced, distributed or transmitted to any other person or incorporated in any way into another database, document or other materials. Nothing on this site should be considered as granting any licence or right under any trademark of SMPW or any third party.

Data Protection

SMPW collects certain personal information about you such as your name, address, telephone number, email address details and other information when it is voluntarily submitted to SMPW on this site, including in connection with its customer registration procedures. SMPW uses this information to ensure compliance with its obligations under the UK regulatory regime and for its own internal purposes. Please note that by submitting personal information you are consenting to such information being processed for the purposes referred to above. You also agree that SMPW has the right to use and store such data on its internal systems and to transfer it to its associated companies, whether inside or outside the European Union, for the purpose of providing services to you. You should also be aware that the level of protection in relation to the processing of personal data may not be the same in countries outside the European Union as in the United Kingdom.

For more information, please refer to our                           .

Linked Websites

This site may be linked to third party websites or contain information provided by third parties. SMPW does not make any representation as to the accuracy or completeness of such websites or information, has not and will not review or update such websites or information, and cautions browsers that any use made of such websites or information is at their own risk. SMPW does not accept any liability arising out of the information contained on any linked website or information on this site provided by a third party and the use of such sites and information is at your own risk. This does not exclude or restrict any duty or liability that SMPW has to its customers under the regulatory system in the United Kingdom.

Complaints

(a) We have an established complaints procedure which conforms to the FCA Rules for the proper handling of complaints.

(b) If you have any complaints regarding our services, you should contact us:

In writing: Peter Liu, 26-28 Victoria Parade, London, SE10 9FR

By phone: +44(0) 20 3904 5235

By e-mail: compliance@spwinvestment.com

(c) If we cannot resolve your complaint in this manner please write to us stating the nature of the complaint. Please quote any relevant dates and correspondence.

(d) We will record details of your complaint centrally and make sure your complaint is thoroughly investigated.

(e) If we are unable to deal with a complaint within ten (10) business days of the day we received it, we will issue you with an acknowledgement letter together with a copy of our Internal Complaints Handling Procedure and provide you with regular updates as to our progress with our investigation into your complaint.

(f) Within eight (8) weeks of receiving your complaint we will send you a final written response in which either: we offer you a remedy, whether or not we accept your complaint; or we reject your complaint and give you our reasons for doing so. This letter will include a copy of the Financial Ombudsman Service’s standard explanatory leaflet and inform you that if you remain dissatisfied with our response, you may refer your complaint to the Financial Ombudsman within six (6) months.

Conflict of Interests Policy

Our conflict policy describes our approach to handling conflicts which we may have when acting for our clients. We deal with conflicts on a case by case basis, but the policy sets the general framework within which we usually operate and discloses the types of conflict we may have from time to time. The latest version is available in a printed version on request. We will notify you of material changes to our Conflicts of Interest Policy, and can provide further details on request. The latest version is available in a printed version on request. You can contract us by email (info@spwinvestment.com).

Order Execution Policy

The latest version is available in a printed version on request. You can contract us by email (info@spwinvestment.com).

Capital Requirements Regulation Statement

The latest version is available in a printed version on request. You can contract us by email (info@spwinvestment.com).

Pillar 3 Disclosure

The latest version is available in a printed version on request. You can contract us by email (info@spwinvestment.com).

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