Governance & Intermediary Client Documents
This page has been created to allow Intermediaries, to access those documents that we feel will be of interest to both existing Intermediary clients and those considering the use of our services, in an efficient manner.
Governance:
Conflict of Interest Policy
Engagement Policy
Investment Firms Prudential Regime – Governance Arrangements
Investment Firms Prudential regime – Remuneration Report
Investment Firms Prudential regime – Own Funds Requirement
Investment Firms Prudential regime – Own Funds
Investment Firms Prudential Regime- Risk Management Objectives & Policies
Our Company
James Brearley has a proud history of providing investment management and share dealing services to both private and professional clients for over 100 years.
As one of the North of England’s leading Investment Managers & Stockbrokers, we employ over 60 people. Our skilled and experienced staff combined with our financial strength enables us to provide high quality, bespoke and flexible services to all our clients. .
James Brearley & Sons Limited is authorised and regulated by the Financial Conduct Authority (FCA) and are a member of the London Stock Exchange.