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Our commitment to Consumer Duty

At Canaccord Wealth, we are dedicated to our clients and their financial future, helping them build their wealth with confidence. We aim to build relationships on our clients’ terms - always keeping them informed and ensuring their financial plans and investment portfolios meet their individual needs and attitudes to risk.

Our commitment to our clients

We are fully committed to upholding the principles of the FCA’s Consumer Duty. Our work in support of Consumer Duty is continuous and ongoing. Below are some of the regulatory obligations we have fulfilled to date to ensure compliance with the regulatory requirements.

Target market descriptions

We have described the ‘target market’ for each of our products and services. By clearly explaining who our products and services are designed for, we and the other professionals we work with (e.g. financial advisers) can ensure that our clients get the right products and services to meet their needs.

Fair value assessments

We have confirmed that the price of our products and services is reasonable given the benefits our clients can expect to receive by performing ‘fair value assessments’. Professionals can find our target market and fair value statements below and on the relevant product or service page of our website. If you have any questions regarding these documents, please contact CanaccordWealthConsumerDuty@Canaccord.com

Regular reviews

We regularly review each of our products and services to ensure they continue to provide good outcomes, represent fair value and are sold to the right clients.

Ongoing communication and support

We have an ongoing programme to ensure that the communication and support we provide our clients enables them to realise the benefits of the products and services they pay for. If you feel we could improve any aspect of our communication or support, we’d really appreciate your feedback – please contact CanaccordWealthConsumerDuty@Canaccord.com

Tailored support

We recognise that some clients, due to their personal circumstances (e.g. health conditions or stressful events in their lives), may require additional support to make full and effective use of our products and services. We are committed to providing tailored support that meets our clients’ individual needs.

Further information

We continue to monitor, evaluate, and refine our work on Consumer Duty and will seek further client feedback to inform and guide our approach to delivering good outcomes for all our clients.

Target Market and Fair Value Assessment:

Supporting our clients

Important information

Investment involves risk. The value of investments and the income from them can go down as well as up and you may not get back the amount originally invested. Past performance is not a reliable indicator of future performance.

The tax treatment of all investments depends upon individual circumstances and the levels and basis of taxation may change in the future. Investors should discuss their financial arrangements with their own tax adviser before investing.

The information provided is not to be treated as specific advice. It has no regard for the specific investment objectives, financial situation or needs of any specific person or entity.