Legal and Regulatory Information

Adam & Company is a trading name of Canaccord Genuity Wealth Limited (CGWL), CG Wealth Planning Limited (CGWPL) and Intelligent Capital Limited (ICL) in Scotland. CGWL, CGWPL and ICL also use the trading name Canaccord Genuity Wealth Management (CGWM).

Please click on the links below to view the key legal and regulatory documents listed. Some of the links may redirect you to the CGWM website.

Client money and client assets

• Central Securities Depositories Regulation (CSDR)
• Client asset protection
• Excess reportable income & Income equalisation

Company engagement and stewardship

• Stewardship code

Orders and investments

• Summary of the Wealth Planning Order Reception and Transmission Policy
• Order Execution Policy (CGWL)
• Investment recommendations disclosures
• Market Sounding process

Privacy

• CGWL Candidate privacy notice
• Privacy notice

Policies and disclosures

• Complaints handling policy
• Conflicts policy
• Modern Slavery Act
• Task Force on Climate-related Financial Disclosures (TCFD) Report

Terms of business

• Terms of business and service agreements (CGWL)
• Terms of business and service agreement (CGWL) - summary of recent changes
• Terms of business (CGWPL)
• Terms of business: Summary of recent changes
• ICL Service Proposition Client Agreement