Legal and Regulatory Information
Privacy Notice explaining the types of information Thomas Miller Investment Ltd and Thomas Miller Investment (Isle of Man) Limited (collectively ‘Thomas Miller Investment’) may collect, what we do with it, and why we need that information.
At Thomas Miller Investment we believe that service excellence is paramount in all we do. However, we recognise that occasionally things go wrong. When they do, we encourage our clients to contact us so that we have the opportunity to put matters right and enhance our service for the future.
This document outlines what you should do if you wish to make a complaint and explains who to contact if you are not satisfied with our response.
Treating Customers Fairly
This document sets out the Policy of Thomas Miller Investment Ltd and Thomas Miller Investment (Isle of Man) Limited (collectively ‘TMI’) regarding Treating Customers Fairly.
For more information please view our treating customers fairly policy document.
Conflicts of Interest Policy
Integrity is one of TMI’s core values and confidence in the integrity of TMI and its employees is central to the relationship of trust between the firm and its clients. You can read about our Conflicts of Interest Policy by reading the attached document.
This document sets out the Policy of Thomas Miller Investment Ltd and Thomas Miller Investment (Isle of Man) Limited (collectively “TMI”) on conflicts of interest.
Order Execution Policy
You can read about our Order Execution Policy in the attached document.
This document sets out the Policy of Thomas Miller Investment Ltd and Thomas Miller Investment (Isle of Man) Ltd (collectively ‘TMI’) on the execution of client orders..
Order Execution Disclosures
You can read Thomas Miller Investment Ltd.'s RTS 28 Disclosures for the previous two years in the below documents:
Thomas Miller Investment Ltd ("TMIL") is required to provide disclosures around the execution venues used for each financial instrument and information on the quality of execution.
Pillar 3 Disclosure:
The Bribery Act received Royal Assent on 8 April 2010 and came into force on 1 July 2011. The new Act reforms the criminal law to provide a new, modern and comprehensive scheme of bribery offences that will enable courts and prosecutors to respond more effectively to bribery at home or abroad.
Thomas Miller Investment complies with the Stewardship Code introduced by the Financial Reporting Council, and will use the Code to inform its voting procedures and its relationships with the management of companies which are owned by its clients.
You can read more about our compliance with the code by reading the attached document.
We will be reviewing our Stewardship Code Compliance Statement shortly as the FRC has indicated that it will update the Code in October 2019 and the FCA has changed its rules to implement the Shareholder Rights Directive (SRDII) in the UK.