James Brearley has had the appropriate regulatory permissions to act as a custodian over client assets for over 20 years. Today we are responsible for the safe keeping of client assets and cash of in excess of £3.8bn, across approximately 25,000 accounts (correct as at 31st March, 2024). The majority of these arrangements have been introduced by intermediary firms, be they fellow stockbroker firms, discretionary fund managers, family wealth offices, independent financial advisers and other platform providers.

Our Investor Terms document seeks to outline our responsibilities to you, particularly in respect of the safe keeping of your investments and cash, going on to also cover off amongst other things, what compensation rights you have. The document also explains that we would expect all instructions and orders relating to your account to be provided by your appointed intermediary firm. If your intermediary firm is also a member of the London Stock Exchange and from time to time may deal directly with the market and inform us of Settlement Instructions, varied Investor Terms apply.

To enable you to follow the value of your investments and to receive correspondence from us, be it contract notes, valuation reports etc, we have provided your financial adviser/investment manager with access rights to our web portal. We have produced a userguide outlining the functionality of the web portal, which we hope is a useful reference point.

Our responsibilities to you relating to the execution of your investment orders are detailed in our Order Execution Policy.

Our responsibilities to you relating to the use of your personal data is detailed in our Privacy Policy.

James Brearley is a member of the UK Platform Group, an organisation consisting of the largest investment platform providers in the UK. The UK Platform Group members have each adopted a standard document to try and explain to clients of intermediary firms, what costs they incur and from this to help them to compare charges between providers.