IICapital
Advisors Ltd Order
Execution Policy
Contents
1.1 Introduction
3.1 Delivery of Best Execution
4.1 Financial instruments
4.2 Clients
4.3 Activities
This policy details how IICapital Advisors Ltd (the Firm) will comply with its overarching regulatory requirement of taking all the sufficient steps to obtain, when transmitting orders to, and/or placing decision to deal with, other entities for execution, the best possible results for its clients.
The Firm is authorised by the Financial Conduct Authority (FCA) and, as such, will act in accordance to the rules as defined in the FCA Handbook, which will take precedence over the requirements of this policy.
This policy, and the Firm’s order execution arrangements, will be reviewed regularly, at least once a year, and amended as considered necessary by the Firm’s Management Body in the event of changing circumstances or regulations.
Best execution is the overarching requirement for firms to take ‘sufficient steps’ to provide the client with the best possible overall results on a consistent basis, and not just by providing the best price for an individual trade. To do this, the Firm shall take into account execution factors such as price, costs, speed, likelihood of execution and settlement, size, nature or any other consideration considered to be relevant to the execution of client’s orders.
Nevertheless, where there is a specific instruction from the client the Firm shall execute the order following the specific instruction. If the client’s specific instruction covers one aspect of the order, the Firm will follow its execution policy for the other aspects to ensure best execution.
The Firm does not execute client orders.
The Firm does not execute any MiFID Regulated Financial Instruments.
This policy applies to Professional Clients. In accordance with the Firm’s obligations to the client, it has notified the client of the client classification that applies to them.
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II Capital is a simple capital introduction business.
The company’s Director has a broad range of contacts whom are professional investors, through previous roles. IICapital use the director’s investment research background to understand exactly what these investors are looking for and then use a combination of fund databases, fund service providers, and other industry contacts to find relevant candidate funds. The firm will meet with the funds and do their own due diligence before making an introduction between the professional investor and the fund.
Advice is only be given to investors in the course of arranging investments. Typically this might include a discussion about why II Capital Advisors prefers a given fund to its peers, or how a given fund would complement an investor’s portfolio. No formal advice is ever to be provided, and professional investors such as these are able to make their own investment decisions.