Regulated in the UK
We are regulated by the Financial Conduct Authority, therefore, we have systems and controls to comply with the FCA Handbook and Code of Conduct. Our legal and compliance team ensures we comply with all regulations including GDPR and equivalent UK legislation as well as any other applicable privacy legislation and the ISO27001 certification information security standard . Additionally, we are a QAS and an FSQS accredited firm.
Our legal team
As well as ensuring compliance, our team handles the day-to-day legal needs of our business, such as ensuring efficient contractual frameworks and processes, due diligence procedures and all of our agreements.
Compliance
Our Legal and Compliance team not only ensures Redington complies with all FCA and any other regulatory requirements, they also create new processes as additional regulations come into force.
Risk
As required by the FCA, the Risk function, undertaken by the Legal and Compliance team, establishes, implements and maintains adequate risk management policies and procedures, including effective procedures for risk assessment, which identify the risks relating to our activities, processes and systems, and set the level of risk tolerated by us. Our Risk Governance includes a firmwide Risk Register, Risk Committee and at Group level, an Audit, Risk & Compliance Committee.
Information security
Our ISO27001 certification shows we have both technical excellence and a company culture that takes information security seriously.
Data protection and privacy
In general, we do not believe we need to hold personally identifiable information in order to provide our services to clients, but we are very privacy-aware and follow GDPR and other relevant privacy laws. Please find our Privacy Notice here.
Conflicts of Interest Policy Summary
Please click here to download a summary of our conflict of interest policy
Complaints Procedures
Redington Limited is authorised and regulated by the Financial Conduct Authority (“FCA”) in the UK. In recognition of Dispute Resolution (DISP) 1.1A regarding MiFID applicable complaints, Redington have adopted an effective and transparent procedure for the fair and prompt handling of all complaints. Redington will apply best practice paying due regard to the interests of its clients, treating all clients fairly. We trust you will be satisfied with the outcome of our investigation and politely remind you that Redington does not have permission to undertake business for or on behalf of retail clients, and if you are classified by the FCA as ‘Professional Client’ your complaint is not eligible for referral to the Financial Ombudsman Service (FOS). If you have any questions about our complaints process, please contact us at:
The Compliance Officer
Redington Limited
Floor 6, 1 Angel Court, London EC2R 7HJ
compliance-risk@redington.co.uk
Please find our Complaints Charter here.
Contact the Redington Legal and Compliance team
If you would like to contact the team, please send an email to: Legal@redington.co.uk for any Legal enquiries or Compliance-ISDP@redington.co.uk for any Compliance, Information Security or Data Protection enquiries.
