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Regulatory Information

Complaints Handling Policy

Weinberg Capital Partners is dedicated to handling any client complaints promptly and fairly, in line with UK regulatory requirements. If you wish to make a complaint, you can contact us free of charge at our registered office at 1-3 Sandgate, Northumberland, Berwick Upon Tweed, TD15 1EW, by telephone at +44 070 1217 7969 , or via email at contact@weinberg-finance.com .

Should you be unsatisfied with our response, you have the right to escalate your complaint to the Financial Ombudsman Service (FOS). The FOS can be contacted by post at Exchange Tower, London E14 9SR, or you may submit your complaint online through their website at https://www.financial-ombudsman.org.uk.

The mediation process is free of charge, and the decision made by the FOS is final and binding. Weinberg Finance Partners commits to acknowledging receipt of your complaint within ten working days unless we provide a full response within that period. We also aim to provide a detailed response within a maximum of eight weeks, except in exceptional circumstances which will be explained to you. Our Complaints Handling Policy is available for review at our registered office and can be provided upon request within eight working days via email or postal mail.

Conflicts of Interest Policy

Weinberg Finance Partners has established comprehensive organisational and administrative procedures to identify, manage, and mitigate any conflicts of interest that may arise during the provision of collective investment services. This approach is in accordance with the UK’s Financial Conduct Authority (FCA) requirements and includes maintaining a clear policy on conflicts of interest, identifying actual or potential conflicts, keeping detailed records of any conflicts encountered, and informing clients if any conflicts cannot be adequately managed. The Conflicts of Interest Policy is available for consultation at our registered office and can be sent to you within eight working days upon request by email or post.

Shareholder Engagement Policy

Our shareholder engagement policy is designed to promote long-term shareholder commitment in line with the UK’s Shareholder Rights Directive and industry best practices. It encompasses monitoring the financial, environmental, social, and governance performance and risks of investee companies, maintaining ongoing dialogue and cooperation with these companies and other stakeholders, managing and preventing conflicts of interest, and reporting on engagement activities. This policy can be reviewed at our registered office or requested for delivery within eight working days via email or postal mail.

Environmental, Social, and Governance (ESG) Policy

For further information on our responsible investment approach, please visit the “Our Responsible Approach” section on our website.

Review of Regulatory Information

This regulatory information was last reviewed and updated on 20 October 2024.