Regulatory Matters

In The United Kingdom

The Alexander Beard Group plc is authorised and regulated by the Financial Conduct Authority.

The Alexander Beard Group plc is registered in England, No. 2144184.
The registered address is 14-16 Rossmore Business Village, Inward Way, Ellesmere Port, Cheshire,CH65 3EY

To view our registration, please click here: FCA

You should then insert the following reference: 136720

In the United States of America

Alexander Beard (USA) LLC is authorised and regulated by the Financial Industry Regulatory Authority (FINRA).

To view our registration, please click here: FINRA

You should then either search under the company name or insert the following CRD reference #: 134642

In Australia

Alexander Beard (Australia) Pty Ltd are authorised representative’s of Sentry Financial Planning Pty Ltd (AFSL247 105) ABN74 099 029 526.

To view our registration, please click here: Australian Securities and Investments Commission (ASIC)

In South Africa

Alexander Beard Group (South Africa) Pty Ltd. is authorised by the South African Financial Services Board (FSB).

To view our registration, please click here: FSB

You should then insert the following FSP number: 44175

In Canada

Alexander Beard Group are served by Rogers Group Financial, who are regulated by the Canadian Provincial Securities Commission.

To view our registration, please click here:

In New Zealand

Alexander Beard (NZ) Limited is a registered Financial Services Provider governed by the NZ Financial Markets Authority and Financial Advisers Act 2010, and meets and exceeds the Code of Professional Conduct set out by that Authority.

To view our registration, please click here:

Our Principle for Treating Customers Fairly

The Alexander Beard Group’s principle is to balance the client’s needs with that of the firm’s, to be clear about what the firm and its products and services offer and to be unambiguous about our fees and levels of service.

Specifically this requires that:

• our clients should clearly understand the nature of the services we provide, including our terms, conditions and charges.
• our client’s must clearly understand the risks inherent in the markets in which they invest through us.
• we must communicate to our clients in an open, clear and understandable manner.
• we must have a thorough understanding of our clients’ investment objectives, investment experience, attitude to risk, financial standing and resources.
• we must be clear about the suitability of the recommendations we make to our clients.
• we will not promise to provide services we are not able or equipped to deliver.
• we will embed the concept of "Treating Customers Fairly" within our company culture.
• our complaint procedures must be clear, unambiguous and impartial.
• we will regularly assess the effectiveness of our policies in respect of Treating Customers Fairly.

Complaints

As an Independent Financial Adviser you expect first class service from us and that is what we aim to provide.

If there is a problem or if you are not happy about the service you have received from us then please tell us and we will try to put things right.

If you don’t understand something or you think that there is a problem, ask us for an explanation.

We need to know and understand what the problem is. If we do, we can often resolve matters quickly and easily. But, if you are not happy with the answers we give you, you may need to make a formal complaint.

Dealing with a Complaint?

We regard a complaint to be any expression of dissatisfaction, whether oral or written, from or on behalf of a client.

All complaints are referred to the Compliance Manager at:

The Alexander Beard Group plc, 14-16 Rossmore Business Village, Inward Way, Ellesmere Port, Cheshire, CH65 3EY.

All complaints are dealt with in line with the regulations and procedures laid down by the Financial Services Authority and the Financial Ombudsman Service.

Please note that the Financial Ombudsman Service only has jurisdiction on advice and business carried on from the United Kingdom.