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Compliance Manual

The latest version of Midmar Capital’s Compliance Manual and Appendices can be downloaded by following the links below. The manual details policies and procedures that ARs must adhere to, where applicable.

If you have any questions on the Manual or the Appendices, please contact us.

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1 Introduction

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2 High-Level Principles

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3 Senior Management Arrangements, Systems & Controls (SYSC)

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4 Financial Crime

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5a Approved Persons

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5b Senior Managers and Certification Regime

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6 Regulatory Capital and Liquidity (IPRU-INV)

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7 Conduct of Business (COBS) - General

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8a Conduct of Business (COBS) - Advisory

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8b Conduct of Business (COBS) - Management

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9 Product Oversight and Governance

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10 Client Assets

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11 Training and Competence

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12 Complaints and Redress

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13 Reporting and Notifications

 Appendices

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A1 SYSC Responsibilities Table - Approved Persons Regime

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A2 SYSC Responsibilities Table - Firm Only

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B Business Continuity Policy

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C Risk Policy

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D Conflicts of Interest Policy

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E Best Execution Policy

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F Personal Account Dealing Requirements

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F1 Personal Account Dealing - ARs

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F2 Personal Account Dealing - Firm

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G Treating Customers Fairly

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H Market Abuse Examples

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I Rumours Policy

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J Suspicious Activity Report Form

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K Tax Evasion Prevention Policy

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L Anti-Bribery & Corruption Policy

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M Knowledge and Competence Assessment Sheet

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N Guidance for Appendix M

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O Complaints Management Policy

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P Complaints Leaflet

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Q PROD Annex Assessment

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R Telephone Recording Policy

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S Risk Summary Instructions

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