Important Information

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.

Information

Shareholder Rights Directive (SRD II)

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.

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Raymond James Privacy

Raymond James Privacy

Raymond James Investment Services Limited (Raymond James) is committed to protecting your privacy and we take our responsibilities regarding the security of your information seriously.

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Terms of Business

Terms of Business

Raymond James' Terms of Business describes the way that we do business with you, our investor clients. This document sets out your rights and our obligations to you.

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Rates and Charges

Rates and Charges

Our Rates and Charges document can be found here; it sets out our schedule of interest and foreign exchange rates, and foreign exchange, payment, transfer and proxy voting charges.

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Investor Account Protection

Investor Account Protection

Raymond James administers your accounts and we have an arrangement with Pershing to act as custodian for your investments; read our Investor Account Protection factsheet for more information.

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Individual Savings Accounts (ISAs) and Junior ISAs

Individual Savings Accounts (ISAs) and Junior ISAs

Find out who is eligible to subscribe for the Raymond James Stocks and Shares ISA and the Raymond James Junior ISA, and what the subscription limits are for each for the current tax year.

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Modern Slavery and Human Trafficking Statement

Modern Slavery and Human Trafficking Statement

Raymond James Investment Services Limited adopts a zero tolerance approach to modern slavery. We are committed to acting in an ethical manner, with integrity and transparency in all business dealings.

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Execution and Order Handling Policies

Execution and Order Handling Policies

When executing orders on your behalf, or when dealing in the course of managing your portfolio, we take all reasonable steps to obtain the best result for you on a consistent basis.

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Raymond James UK Tax Strategy Disclosure

Raymond James UK Tax Strategy Disclosure

This page sets out Raymond James' approach and strategy for handling its tax affairs and managing the tax risks for the year ending 30 September 2021

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FSCS Limits

FSCS Limits

As a Raymond James client, your investments are covered by the Financial Services Compensation Scheme; find out more about the FSCS and the current limits for investments and deposits.

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Pillar 3 Disclosures

Pillar 3 Disclosures

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.

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Use of Emails

Use of Emails

Emails sent from Raymond James are intended for the recipients only, and must not be forwarded without the author's consent. Read our email usage policy in full here.

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Conflicts of Interest Policy

Conflicts of Interest Policy

Raymond James recognises that, in the course of its business, there are circumstances which may give rise to a conflict of interest; read our full conflicts of interest policy here.

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The Stewardship Code

The Stewardship Code

Due to the varied nature of the business models and investment strategies utilised by our wealth managers, Raymond James does not commit to the Financial Reporting Council’s Stewardship Code.

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Website Legal Disclosures

Website Legal Disclosures

This website is issued by Raymond James Investment Services Ltd. Raymond James is a member of the London Stock Exchange and is authorised and regulated by the Financial Conduct Authority

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