Institutional Investments Self-Certification

IMPORTANT: Any investment can put your capital at risk. The value of an investment can go down as well as up, and you may get back less than you originally invested. Past performance of any given investment is not a guide to or guarantee of future performance. Tax reliefs depend on individual circumstances and may be subject to change.

You can only view this page if you are a Financial Advisor or other Financial Professional. If you are not one of these, please click here, and you will be returned to our Homepage.

To register with Gold Grain as a self-certified financial professional, click here to contact a member of our team, and sign up for our Insights newsletter.

If you are a financial professional, please read on.

The FCA stipulates certain legal and regulatory protections for retail investors. By confirming your status as a financial professional, you are also confirming that you are happy for these to be waived. Please find a list of these protections below:

1.  COMMUNICATING WITH CLIENTS, INCLUDING FINANCIAL PROMOTIONS

The FCA’s detailed financial promotion rules applicable when communicating with persons categorized as retail clients will not apply when communicating with you; in broad terms, Gold Grain Capital Limited’s obligations in relation to financial promotions to professional clients are to ensure that they are fair, clear and not misleading.

2.  DISTANCE COMMUNICATIONS

As an Elective Professional Client, it is possible that you may not meet the definition of a “consumer”. If this is the case,  the requirements relating to distance communications will not apply.

3.  INFORMATION ABOUT GOLD GRAIN CAPITAL LIMITED, ITS SERVICES AND REMUNERATION

There are specific pieces of information about Gold Grain Capital Limited, our services and remuneration that we must provide to Retail Clients. We are obliged to provide information on these areas to all clients but the level of detail, medium and timing of the provision is less specific for those clients that are not Retail Clients.

4.  APPROPRIATENESS

For transactions where we do not provide you with a personal recommendation (e.g. an execution only trade), we may be required to assess whether the transaction is appropriate for you. In these instances, we are entitled to assume that, in relation to the products, transactions and services for which you are classified as an Elective Professional Client, you have the necessary level of experience and knowledge to understand the risks involved in the transaction.

5.  REPORTING INFORMATION TO CLIENTS AND DISCLOSURES.

Gold Grain Capital Limited is not required to give the same level of information required for retail clients during the provision of its services to a professional client.

When providing confirmation that we have carried out your orders, the timeframe in which we have to do so is greater than if you were a Retail Client.

Gold Grain Capital Limited is not required to give certain disclosures to you that are required to be provided to retail clients. These disclosures relate to, for example, the services Gold Grain Capital Limited offers and the costs and associated charges as well as Gold Grain Capital Limited’s conflicts of interest policy.

6.  FINANCIAL OMBUDSMAN SERVICE

Certain retail clients may be eligible to have complaints dealt with under the Financial Ombudsman Service. Except for very rare circumstances, professional clients will not be eligible to have complaints dealt with by the Financial Ombudsman Service.

To view this page, please confirm below that you are a financial professional, and that you agree to waive the aforementioned protections afforded to retail investors by the FCA.

If not, please click ‘I am not a financial professional’ to be returned to the homepage.

Institutional Investments – Gold Grain Capital

INSTITUTIONAL ADVISORY

INSTITUTIONAL ADVISORY

INSTITUTIONAL ADVISORY

INSTITUTIONAL ADVISORY

Finding the perfect fit for your institution's portfolio

Finding the perfect fit for your institution's portfolio

The perfect fit for your institution's portfolio

Finding the perfect fit for your institution's portfolio

We specialise in fully customisable third-party instruments, and we focus on finding the right solution for your investment strategy. Our technical expertise and extensive network of institutional issuers gives you access to a wide range of products, including structured products, alternative investments and UCITS funds.

We specialise in fully customisable third-party instruments, and we focus on finding the right solution for your investment strategy. Our technical expertise and extensive network of institutional issuers gives you access to a wide range of products, including structured products, alternative investments and UCITS funds.

Our Products ↓
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STRUCTURED PRODUCTS

STRUCTURED PRODUCTS

Sourcing flexible, customisable third-party instruments to suit your needs

Sourcing flexible, customisable third-party instruments to suit your needs

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ALTERNATIVE INVESTMENTS

ALTERNATIVE INVESTMENTS

Curated opportunities from third-parties, for optimal diversification

Curated third-party opportunities, for optimal diversification

Alternatives

We offer our institutional clients advice on a range of third-party options in the alternative investments space, helping them to fully diversify their portfolios

We offer our institutional clients a range of third-party options in the alternative investments space, helping them to fully diversify their portfolios

UCITS FUNDS

UCITS FUNDS

Investment funds to suit your strategy

Investment funds to suit your strategy

UCITS

We suggest third-party UCITS funds to our clients based on their needs. UCITS funds are hugely useful and cost-effective. They are liquid funds that are marked-to-market daily, and can be marketed and distributed across the EU, irrespective of domiciliation.

We distribute thrid-party UCITS funds to our clients based on their needs. UCITS funds are hugely useful and cost-effective. They are liquid funds that are marked-to-market daily, and can be marketed and distributed across the EU, irrespective of domiciliation.

Find out more ↓
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BESPOKE INSTRUMENT ADVISORY

WORKING WITH TOP-TIER ISSUERS

BESPOKE INSTRUMENT ADVISORY

WORKING WITH TOP-TIER ISSUERS

BESPOKE INSTRUMENT ADVISORY

WORKING WITH TOP-TIER ISSUERS

BESPOKE INSTRUMENT ADVISORY

WORKING WITH TOP-TIER ISSUERS

 

To learn more about our institutional investment  offerings and capabilities, please contact our team to arrange an initial consultation

To learn more about our institutional investment  offerings and capabilities, please contact our team to arrange an initial consultation

Gold Grain Capital Limited (FCA reference number: 734736) is an Appointed Representative of Sapia Partners LLP,  which is authorised and regulated by the Financial Conduct Authority (reference number: 550103).

LONDON OFFICE

1 Harewood Place
Mayfair
London
W1S 1BU

Tel: +44 (0) 203 205 1750

REGISTERED ADDRESS

17 Grosvenor Street
Mayfair
London
W1K 4QG


© Gold Grain Capital 2021
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