The information set out in this section pertains to a number of legal and regulatory matters.
The information set out in this section pertains to a number of legal and regulatory matters, including Raymond James’ Privacy Notice, Terms of Business and Rates & Charges. It also includes Raymond James’ processes for delivering best execution of our clients’ orders and portfolio trades, and information about how we manage actual and potential conflicts of interest in our firm.
You will also find information about FSCS and ISA limits as well as Investor Account Protection. In this section of our website, we also cover information about this website and your use of it, as well as Pillar 3 Disclosures, Stewardship and information about the use of Email.
Shareholder Rights Directive (SRD II)
SRD II imposes certain disclosure requirements for EU-based asset managers and asset owners on engagement and investment strategies as investors in European Economic Area (“EEA”) companies.
Raymond James is classified as a Limited Licence €50k firm and, as such, is required to comply with the three “Pillars” of the Capital Requirements Directive; you can view our Pillar 3 disclosures here.