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LGT Vestra US
 

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 and, 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
LGT Vestra US Limited ("LGT Vestra US", “We” or “Us”) is authorised and regulated by the Financial Conduct Authority ("FCA") in the United Kingdom, and is a Registered Investment Adviser with the Securities & Exchange Commission ("SEC") in the United States. Our FCA registration details are set out in the FCA Register under Firm Reference Number 585547 (www.fca.org.uk). Our SEC details are set out in the Investment Adviser Public Disclosure under SEC Reference Number 801-77580 (http://www.adviserinfo.sec.gov).

LGT Vestra US is registered in England & Wales (registered number 06455240) and our registered office is 14 Cornhill, London EC3V 3NR.

LGT Vestra US is a wholly owned subsidiary of LGT Vestra LLP. LGT Vestra LLP is a limited liability partnership incorporated in England & Wales (registered number OC329392), is authorised and regulated by the FCA under Firm Reference Number 471048 and is a Member of the London Stock Exchange.

Suitability
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. Investors should be aware that past performance is not an indication of future performance, the value of investments and the income derived from them may fluctuate and you may not receive back the amount you originally invested.

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 Data Protection Act 1998 ("DPA"). You have certain rights under the DPA in respect of the information we hold about you. You are entitled to a copy of the information held about you. Your right of access can be exercised in accordance with the DPA and any access request may be subject to a fee.

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
This website is governed by and construed in accordance with the laws of England and Wales. 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 LGT Vestra US Limited.

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. LGT Vestra US accepts no liability for information contained within websites provided by third parties that may have links to or from our website.

Complaint 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 Compliance Officer or the Chief Executive Officer. You can complain in writing, by telephone, by fax 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 3 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 or by calling 0800 023 4567. 

Pillar III Disclosures as at 31.12.2016

Pillar III Disclosures

Given the industry that LGT Vestra US operates in it is subject to a number of risks including but not exclusively credit risk, market risk, operational risk, liquidity risk and interest rate risk. Please click here for our Pillar 3 disclosure.

Remuneration

Our remuneration policy is designed to ensure that we comply with the Remuneration Code and our compensation package is in line with the Firm’s strategy and objectives. The policy is designed to create a direct link between reward and performance, encourage a team ethic throughout the business, and promote effective risk management. For our full disclosure statement, contained within our Pillar 3 disclosure please click here.