Legal and regulatory information (Ireland)
Important regulatory information and risk warnings
Smith & Williamson is a diverse business. The following information is important and accords with Smith & Williamson's regulatory obligations.
Information on this site is published for private reference purposes only and is neither an offer to enter into a contract or agreement nor a solicitation to buy or sell any investment or service. The site is designed for Irish residents and is not aimed at persons who are residents of any country, including the USA and South Africa or of countries in which the dissemination of information on funds/services on the Internet is forbidden.
This site is issued by the relevant UK and European regulated Smith & Williamson entity or entities. Smith & Williamson Investment Management (Europe) Limited is a MiFID investment firm regulated by the Central Bank of Ireland. Smith & Williamson Investment Management (Ireland) Limited is a UCITS management company regulated by the Central Bank of Ireland. Smith & Williamson Freaney Limited is regulated by the Institute of Chartered Accountants in Ireland. Smith & Williamson Freaney Audit Company is registered to carry on audit work and regulated by the Institute of Chartered Accountants in Ireland. Smith & Williamson firms which are authorised and regulated by the Financial Conduct Authority in the UK are: NCL Investments Limited; Smith & Williamson Investment Management LLP; Smith & Williamson Investment Services Limited; Smith & Williamson Fund Administration Limited; Smith & Williamson Financial Services Limited and Smith & Williamson Corporate Finance Limited. Smith & Williamson LLP is regulated by the Institute of Chartered Accountants in England and Wales for a range of investment business activities and is a member of Nexia International, a worldwide network of independent accounting firms. Nexia Smith & Williamson Audit Limited is registered to carry on audit work and regulated by the Institute of Chartered Accountants in England and Wales for a range of investment business activities and is a member of Nexia International, a worldwide network of independent accounting firms.
Smith & Williamson is not responsible for the accuracy of the information contained within the sites of other providers which have links to any pages of this site. Smith & Williamson does not endorse any information contained on other providers' sites. The contents of this site are based upon sources of information believed to be reliable. However, (1) no guarantee, warranty or representation, express or implied, is given as to the accuracy or completeness of such information; and (2) no Smith & Williamson company nor any of its officers, directors or employees accepts any liability or responsibility in respect of the information expressed herein which, moreover, is subject to change without notice.
The performance information contained on the site contains information which accords with UK performance standards. Past performance is not a guide to future performance. The value of investments may go down as well as up and you may not get back the amount you originally invested. Investors should note that changes in rates of exchange may have an adverse effect on the value, price or income of investments. There are additional risks associated with investing in emerging or developing markets. Investments in higher yielding bonds issued by borrowers with lower credit ratings may result in greater risk of default and have a negative impact on income and capital value. Tax rates and reliefs may change and the value of tax reliefs depends on individual circumstances. Local laws may have an impact on your investments.
Smith & Williamson and its affiliated companies and their directors and employees may, as principal or as agent, make purchases, sales and offers to purchase or sell in the open market or otherwise and may have positions/options in investment(s).
Revised Shareholder Rights Directive (SRD II)
Smith and Williamson Investment Management (Ireland) Limited
The European Union (Shareholders’ Rights) Regulations 2020 (SRD II Regulations) transposed the European Commission Shareholder Rights Directive 2017/828 (amending Directive 2007/36/EC on the exercise of certain rights of shareholders in listed companies) (“SRD II”) into Irish law on 20 March 2020 and became effective on 30 March 2020. Smith and Williamson Investment Management (Ireland) Limited (“SWIMIL”) is the UCITS Management Company of the Smith and Williamson Investment Funds Plc (“the Fund”) and its sub-funds, and has delegated the responsibility of investment management for the Fund and its sub-funds to Smith and Williamson Investment Management LLP (“SWIM”), which is authorised and regulated by the Financial Conduct Authority in the UK. SWIMIL has published an SRD II Engagement Policy available here, detailing its position on the application of the SRD II transparency obligations to its activities.
Top 5 Execution Venues – Annual Report
The Markets in Financial Instruments Directive 2014/65/EU (“MiFID II”) requires investment firms who execute client orders to summarise and make public on an annual basis, for each class of financial instruments, the top five execution venues in terms of trading volumes where they executed client orders in the preceding year and information on the quality of execution obtained.
Anti-Bribery and Corruption Policy
You can view the Smith & Williamson Holdings Limited Anti-Bribery and Corruption Policy here.
Legal Entity Identifiers
Smith & Williamson Investment Management (Europe) Limited
Smith & Williamson Investment Services Limited
Group tax strategy
The Group tax strategy can be downloaded as a PDF here.
Smith & Williamson may record telephone calls.