Introduction

Should you have a complaint regarding our products or services you should write to SimplyStockbroking, 49 Whitehall, London SW1A 2BX or call us on 0207 042 9910.
This document outlines our complaints handling policy.

Introduction

Complex instruments are derivative products for which special risks apply. In order for SSL to execute transactions in complex instruments on your behalf you are required to provide information regarding your knowledge and experience of these products which will enable us to assess whether these products are appropriate for you.

Introduction

Under the EU Markets in Financial Instruments Directive (MiFID) and the rules of our regulator, the FSA, we are required to have a Conflicts Policy in place. This Policy sets out procedures, practices and controls in place to prevent conflicts of interest which may arise between itself and its customers, and between one customer and another, in order to avoid any adverse effect on its customers.

Introduction

At SimplyStockbroking (‘SSL’) we are committed to developing a shared understanding of investment risks with our clients. Firstly you should understand that the price and value of investments and the income from them fluctuates so you may not get back the amount you originally invested. How an investment has performed in the past is not a guide to how it will perform in the future. Exchange rate fluctuations may have an adverse effect on the value of non-UK shares and assets priced in foreign currencies. If you are in doubt about investing in any particular investment we recommend you consult a financial adviser.

Before placing orders through via your SSL account, you should read this document and note the warnings, which should be read in conjunction with our Terms of Business, Order Execution Policy, and other important information

Introduction

Under the EU Markets in Financial Instruments Directive (MiFID) and the rules of our regulator, the FSA, we are required to have an Order Execution Policy in place which details all the reasonable steps we take to obtain the best possible result (best execution) for our customers when executing orders. This document sets out our policy and should be read in conjunction with our Terms of Business.

Introduction

At SimplyStockbroking we recognise that the personal information you provide us must be stored and handled in a safe, secure manner in order to ensure that it remains confidential. Our strict confidentiality standards are designed to protect the information we hold regarding you and your account.

Introduction

These Terms of Business will take effect as soon as we have notified you that we have accepted you as a client. Please read these carefully as they set out the basis upon which we will offer our stockbroking services to you. By opening an account with us and using our investment services you agree to these Terms of Business and understand that they (together with the Application Form) form a legally binding agreement between you and us.

Introduction

This form must be completed by anyone wishing to trade US stocks. If you need some helpcompleting the form read the guide in our Education Centre