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..
Pillar 3 Disclosure:
Thomas Miller Investment Ltd is required to disclose certain information in accordance with BIPRU11. Please refer to the attached document.
The Bribery Act received Royal Assent on 8 April 2010 and came into force on 1 July 2011. The 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.
TMI Engagement Policy
TMI supports the principles of good stewardship and responsible investment and we are committed to following the Principles of the Stewardship Code.
The Shareholder Rights Directive aims to promote effective stewardship and long-term investment decision making. It seeks to achieve this by enhancing the transparency of engagement policies and investment strategies across the investment management community. You can read more about TMI’s approach to engagement in our Engagement Policy. We will update this shortly to document how we have been applying the Principles of the 2020 Stewardship Code which replaced the 2012 Stewardship Code.
Please find attached the following links to view TMI’s record of voting activity and a summary of voting activity for the 12 months ended 31 July 2021.
This document sets out the TMI’s policy on responsible investment and the integration of environmental, social and governance (ESG) considerations into our research and investment processes.