Legal and compliance

Information about us

Cardano Risk Management Limited is registered in England and Wales number 09050863. Registered office: 9th Floor, 6 Bevis Marks, London EC3A 7BA. Authorised and regulated by the Financial Conduct Authority.  The Financial Conduct Authority can be contacted at Financial Conduct Authority, 12 Endeavour Square, London, E20 1JN.  Further contact information can be found at: https://www.fca.org.uk/contact 

Cardano provides advice on an independent basis. Cardano considers a broad range of financial instruments that reflects the scope of the advisory services provided and is not restricted to any provider(s). The collective investment schemes that we recommend are subject to our in-house research approach. Advice is, in all instances, based on the Client’s own situation and where it is deemed appropriate a collective investment scheme managed or advised by Cardano may be considered, however, these will not usually be considered as part of our advisory services.

 

Privacy Notices

Please find below the Cardano and Lincoln Pensions privacy notices in respect of the processing of personal data undertaken as a business and as an employer.

Please click here to download the Cardano privacy notice in respect of clients, business contacts and shareholders.

Please click here to download the Cardano privacy notice in respect of employees and applicants.

 

Cardano Group Pillar 3 Disclosure September 2018

Please click here to download the full document.

 

Telephone Call Recording

Cardano records some incoming and outgoing telephone conversations for the purposes of compliance with regulatory requirements. Recordings will take place without warning tones or any other notice. Recordings will be retained for 5 years and will be made available to Clients upon request.

 

Cardano UK and Lincoln Pensions Modern Slavery Act Transparency Statement

Please click here to download the transparency statement.

 

Cardano Stewardship Code compliance statement

Please click here to download the compliance statement.

 

Compensation Scheme

The Financial Services Compensation Scheme (“FSCS”) provides compensation to eligible claimants in the event of a default of a regulated firm. This includes upon the default of Cardano. As Cardano only provides services to Professional Clients, clients of Cardano are unlikely to benefit from the FSCS due to not qualifying as an eligible claimant in most circumstances. Clients that may qualify as eligible claimants includes those who receive regulated services from Cardano Risk Management Limited and are a trustee of either a defined contribution pension schemes or a trustee of a defined benefit pension scheme of an employer which is not a large company, large partnership or large mutual association as defined. Further information on eligibility and compensation limits can be found at https://www.fscs.org.uk/what-we-cover/.     

 

Cardano Investment Services Complaints Handling Process

Please click here to download the complaints handling process document.

  

Order Execution

A summary of Cardano’s Execution Policy as applies to clients of Cardano Risk Management Limited can be downloaded here.  

Cardano Risk Management Limited routes all trades undertaken on execution venues (trading venues, systematic internalisers, market makers and other liquidity providers) to Cardano Risk Management BV. A summary of the Execution Policy for Cardano Risk Management BV and details of the execution venues used during the previous calendar year can be accessed here.  

 

Responsible Investment

Cardano is a signatory to the UN Principles for Responsible Investment. How Cardano incorporates environmental, social and governance factors into our investment decision making is set out in the Cardano Responsible Investment Policy, which can be downloaded here.

 

Conflicts of Interest Policy Summary

Please click here to download the full document.