Williams Investment Management LLP is a Limited Liability Partnership authorised and regulated by The Financial Conduct Authority (Reference No. 403210). Registered in England & Wales No. 0C307706. Registered Office: 34 Victoria Avenue, Harrogate, HG1 5PR.
The information and services described on this website are not intended to be used by, or to be available to, persons accessing the website from outside the United Kingdom.
Investors should be aware that a past performance is not a reliable indicator of future results and that the price of shares and other investments, including the income derived from them, may fall as well as rise and the amount realised may be less than the original sum invested.
The information contained in this website is not intended to be an offer to buy or sell securities and this website should not be regarded as an offer or solicitation to conduct investment business.
Nothing on this website is intended to exclude or restrict any duty or liability which Williams Investment Management LLP may have under the Financial Services and Markets Act 2000 (or any replacement legislation) or the rules and regulations for the conduct of business made thereunder.
This website is owned and operated by Williams Investment Management LLP and is made available on the following terms and conditions. By using the website you accept these terms and conditions, which shall be interpreted according to the laws of England
- Data Protection
Williams Investment Management LLP use of personal information supplied by you when you use this website is governed by our privacy policy - Licence
Williams Investment Management LLP grants you a non-exclusive licence to access and use the content in this website for your personal purposes. You may not reproduce or distribute any part of the content for commercial purposes.You acknowledge that the copyright, database rights and all other intellectual property rights included in or relating to this website and in the data it contains belongs to Williams Investment Management LLP. - Changes to the Website
Williams Investment Management LLP may at any time make alterations to or withdraw this website or any part of it. - Limitation of Liability
Williams Investment Management LLP excludes all warranties, express or implied relating to this website. This includes, but it is not limited to, any implied warranty that the information it contains is accurate or up-to-date or is suitable for any particular purpose. Williams Investment Management LLP shall not be liable for any loss or damage suffered as a result of the use of this website.
We have Cyber Essentials accreditation.
The Standard Terms and Conditions (“Terms”) provide information relating to our Services and the administration of Client Assets. The terms together with our bespoke Client Agreement constitute the legal contract between us and our clients. If you have any questions about the Terms, or our services in general, please do not hesitate to contact us. To view our most recent Standard Terms & Conditions please click here.
Investors should be aware that a past performance is not a reliable indicator of future results and that the price of shares and other investments, including the income derived from them, may fall as well as rise and the amount realised may be less than the original sum invested.
UK & International Equities and Debit Securities
For orders relating to equities, government stock and investment trusts we currently use Redmayne Bentley to execute transactions. We have a long-established relationship with this firm and are confident they provide execution results that compare favourably with other brokers in terms of efficiency in carrying out the order and obtaining the best available price for the investments. Redmayne Bentley is subject to the requirements to provide best execution for all client orders. We monitor the suitability of our execution arrangements on an ongoing basis.
Unit Trust / Open Ended Investment Companies (OEIC)
Where orders relate to unit trusts and OEIC’s, our policy is to execute transactions directly with the fund managers or their agents, rather than custodial platforms. Managers/Agents are directly authorised and regulated by the Financial Conduct Authority (FCA).
Best Execution and Venues
We are required by the regulator to publish the top five execution venues used in the previous year for each type of financial instrument on the basis of volumes traded. We currently direct ALL of the applicable trades through Redmayne Bentley LLP who adhere to their own Best Execution Policy.
Williams Investment Management LLP remains under an obligation to monitor Redmayne Bentley LLP performance to ensure the best possible result for all clients. The selection of Redmayne Bentley LLP is based on past performance, the services offered and market reputation.
Williams Investment Management LLP adheres to the principles of the Remuneration Code and ensures the required disclosures are in our annual financial statements. Further information about the firm’s compliance with the Remuneration Code is available on request.
Williams Investment Management LLP primarily manages assets for Retail investors, however we have regard to the Stewardship Code when managing investments for professional clients. It is our policy to review the performance of investee companies and take appropriate action where necessary.
Our policy on Conflicts of Interest and on voting rights for professional clients, is available on request.
Our partners and senior management adhere to the following FCA Codes of Conduct
1. You must act with integrity
2. You must act with due skill, care and diligence
3. You must be open and cooperative with the FCA, the PRA and other regulators
4. You must pay due regard to the interests of customers and treat them fairly
5. You must observe proper standards of market conduct
We are required by the Revised Shareholder Rights Directive (SRD II) to explain whether or not we have an engagement policy in relation to the companies we invest in where the companies’ shares are admitted to trading on a regulated market. As the proportion of shares we hold in investee companies is much lower than those held by large institutional investors, we are not able to engage with investee companies to the extent envisaged by SRD II. Therefore, we do not have a formal engagement policy.
| Gross Rate | Gross Rate | |
| Effective Date | Discretionary | Advisory Managed & Execution Only |
| 1st July 2024 | 1.25% | 1.25% |
Any interest paid to you will be detailed in the periodic statements you receive from us.
Interest is calculated daily and processed monthly.
Interest is paid gross and it is your responsibility to report this to HMRC or any other relevant tax authority.
Any difference between the rate of interest received by us on client bank accounts and the rate paid to you is retained by us.
The Financial Conduct Authority in its Prudential sourcebook for MiFID Investment Firms sets out the detailed prudential requirements that apply to Williams Investment Management LLP.
In particular, Chapter 8 of MIFIDPRU sets out public disclosure obligations with which the Firm must comply, further to those prudential obligations. To review these disclosures please ‘click here’.