Policies

Close Brothers Asset Management is committed to acting in the best interests of its clients whilst meeting its statutory and regulatory obligations. Close Brothers Asset Management has no tolerance for financial crime and maintains a framework of policies and controls designed to detect and respond to the risks of money laundering, terrorist financing, bribery and corruption, fraud, sanctions breaches and the criminal facilitation of tax evasion.

The following policies and information may be of interest to our clients and potential investors.

Client policies

Investment Research Policy

  • 31 Jan 22
  • 0.12MB
  • PDF

This document sets out how we use investment research at CBAM.

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Order Execution Policy

  • 07 Oct 21
  • 0.09MB
  • PDF

This policy sets out our approach to order execution and obtaining the best possible result for our clients.

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Conflicts of interest policy

  • 16 Sep 21
  • 0.15MB
  • PDF

This policy explains the conflicts of interest that may impact our business and how we manage them.

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Client assets protection

  • 29 Apr 22
  • 0.17MB
  • PDF

This document explains how we safeguard our clients’ money and assets.

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Other policies

The Russia/Ukraine conflict: ESG considerations

  • 28 Jun 22
  • 0.03MB
  • PDF

This conflict is a human tragedy, and with environmental, social and governance (ESG) factors being core to our values, we would like to provide an update on our positioning.

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Fund Remuneration Policy

  • 11 Jan 21
  • 0.13MB
  • PDF

Information regarding Close Asset Management (UK) Limited's approach to remuneration.

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Corporate Access Policy

  • 31 Jan 22
  • 0.12MB
  • PDF

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Receipt of market soundings

  • 10 Feb 21
  • 1.05MB
  • PDF

This document explains our approach to the receipt of market soundings and inside information.

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Before you invest, make sure you feel comfortable with the level of risk you take. Investments aim to grow your money, but they might lose it too.