Our Commitment to You - Charles Stanley

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If you have any query or are unsure of anything, please do get in touch with us. We would be delighted to help.

Our commitment to you as a client

At Charles Stanley we pride ourselves on our commitment to our clients. Providing a 'Personal Investment Service' is very much in the DNA of the whole firm and it is this commitment that we believe makes Charles Stanley stand out from the rest of the investment community.

We strive to provide the very best levels of personal service for all clients from Discretionary, Advisory and Execution-Only clients through to Corporate clients, both large and small, plus Charity and Court of Protection clients.

We invest heavily in our administration functions and Information Technology systems and our 'back-office' consistently wins praise from clients for its attention to detail and swift handling of client queries.

We aim to maintain the highest standards, but even in the best-run organisations things sometimes go wrong. Often these issues are simple misunderstandings, but however trifling or serious they are, your broker should be able to resolve them for you. If this fails to satisfy you then please write to our Compliance Officer, at our Head Office. We are subject to the independent jurisdiction of the Financial Ombudsman Service and any complaint will be dealt with in accordance with its rules. A copy of our documented complaints procedure is available on request.

Discretionary and Advisory Managed clients have an Investment Manager who creates a specific investment strategy tailored for them. Every client's portfolio is regularly reviewed and we are proactive in the management of clients investments, based upon our views and those of our large and well respected research department based in London. Our research output is produced both by our Private Client research team, covering most FTSE 100 stocks and by Charles Stanley Securities, our specialist smaller cap division.

Below you will find a comparison table of our services. There are also some important pages for you to read regarding Custody of Your Investments and Security of Your Investments - both of these issues are extremely important for our clients and these sections set out how Charles Stanley holds and ensures the security of client assets and monies. We hope that they offer reassurance to clients looking to invest with Charles Stanley.

If you have any queries or are unsure of anything, please do get in touch with us. We would be delighted to help.

Use this table to compare the features that we offer within our services. This will help you to make an informed decision about the service that is likely to suit you best. For further information on the services that we offer please see Our Services and Business Terms.

	Discretionary Management	Advisory Managed	Advisory Dealing	Execution-only
Management of your portfolio by your personal Investment Manager, taking investment decisions on your behalf within guidelines agreed with you.	Y	-	-	-
Management of your portfolio by your personal Investment Manager, recommending investment decisions for your approval, within guidelines agreed with you.	-	Y	-	-
Telephone and written investment advice from your Investment Manager/Stockbroker (as and when required) on individual investments.	Y	Y	a	-
Responsibility for the ongoing suitability of your investments within the agreed guidelines.	Y	Y	-	-
A valuation of your portfolio at least every six months, plus a written review.	Y	a	a	-
A regular valuation of your portfolio, plus a written review, at frequencies to be agreed with your broker.	-	Y	a	-
Face-to-face meetings with your Investment Manager/Stockbroker.	Y	Y	a	-
Access to our in-house financial planning advisers.	Y	Y	b	b
Guidance on capital gains tax planning.	Y	Y	b	b
“Stockmarket Bulletin”, our regular newsletter for clients, on request.	Y	Y	Y	-
Online access to view your portfolio (if held in nominees or CREST Personal Membership).	Y	Y	Y	Y
Contract notes, statements and valuations available in a choice of email or hard copy format.	Y	Y	Y	Y
Use of our nominee account for UK stocks and shares which includes: • Collection and processing of UK dividends • A full Securities Report for the tax year-end including: statements of cash and stock movements, a Consolidated Tax Certificate detailing the dividends received for stocks held in our nominee company, and interest received on any cash we have placed on deposit for you • Efficient settlement of sales and purchases.	Y	Y	b	b
CREST Personal Membership, which includes: • A full securities report for the tax year-end including statements of stock movements • Efficient settlement of sales and purchases.	Y	Y	b	b
Custody for overseas stocks and shares.	b	b	b	b

Y = Included within management fee
a = Available by arrangement
b = Available at a separate charge
– = Not applicable to the service

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Charles Stanley & Co. Limited is authorised and regulated by the Financial Conduct Authority and is a member of the London Stock Exchange, the London International Financial Futures and Options Exchange and the International Capital Market Association. Investors should be aware that past performance is not necessarily a guide to the future and that the price of shares and other investments, and the income derived from them, may fall as well as rise and the amount realised may be less than the original sum invested.

Please read our Legal Information, Privacy Policy, Order Execution & Conflicts of Interest and UK Stewardship Code.