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Form ADV & Disclosures

Form ADV

As a Registered Investment Advisor, we offer our clients Part II of Form ADV, our "Disclosure Brochure", prior to our initial engagement and on an annual basis. The latest version can be accessed by following the link below:

Form ADV Part II A

MiFID II

The Markets in Financial Instruments Directive (“MiFID II”) came into force on 3 January 2018 in Europe and introduced a number of changes to the way financial services are provided to clients. Firms within scope are required to take all sufficient steps to obtain the best possible result for their clients when executing orders, which includes taking into account price, costs, speed, likelihood of execution, settlement size or any other consideration relevant to the execution of the order. The Order Execution Policy shall be made available in a durable medium such as the website. Additionally, firms are required to summarise and make public the top five brokers used for execution for each class of financial instruments on an annual basis.

The latest version of the Order Execution Policy and our Annual broker reports can be accessed by clicking the drop down boxes below:

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City of London Investment Management Company Limited is authorised and regulated for the conduct of investment business within the UK by the Financial Conduct Authority (FCA), registered as an Investment Advisor with the United States Securities and Exchange Commission (SEC) and regulated by the Dubai Financial Services Authority (DFSA).
Registered in England and Wales No. 2851236.   Registered Office: 77 Gracechurch Street, London, EC3V 0AS, England.

© 2019 City of London Investment Group PLC.
All rights reserved.

City of London Investment Management Company Limited is authorised and regulated for the conduct of investment business within the UK by the Financial Conduct Authority (FCA), registered as an Investment Advisor with the United States Securities and Exchange Commission (SEC) and regulated by the Dubai Financial Services Authority (DFSA).
Registered in England and Wales No. 2851236.   Registered Office: 77 Gracechurch Street, London, EC3V 0AS, England.

© 2019 City of London Investment Group PLC. All rights reserved.