The latest version of Midmar Capital’s Compliance Manual and Appendices can be downloaded by following the links below. The manual details policies and procedures that ARs must adhere to, where applicable.
After you have read the manual, please print off, sign and return a scanned copy of the Compliance Undertaking linked immediately below.
If you have any questions on the Manual or the Appendices, please contact us.
Compliance Manual
3 Senior Management Arrangements, Systems & Controls (SYSC)
5b Senior Managers and Certification Regime
6 Regulatory Capital and Liquidity (IPRU-INV)
7 Conduct Of Business (COBS) – General
8a Conduct Of Business (COBS) – Advisory
8b Conduct Of Business (COBS) – Management
9 Product Oversight and Governance
Compliance Manual Appendices
Appendix A1: Sysc Responsibilities Table – Approved Persons Regime
Appendix A2: Sysc Responsibilities Table – Firm Only
Appendix B: Business Continuity Policy
Appendix D: Conflicts of Interest Policy
Appendix E: Best Execution Policy
Appendix F: Personal Account Dealing Requirements
Appendix F1: Personal Account Dealing – ARs
Appendix F2: Personal Account Dealing – Firm
Appendix G: Treating Customers Fairly
Appendix H: Market Abuse Examples
Appendix J: Suspicious Activity Report Form
Appendix K: Tax Evasion Prevention Policy
Appendix L: Anti-Bribery & Corruption Policy
Appendix M – Knowledge and Competence Assessment Sheet
Appendix N – Guidance for Appendix M
Appendix O – Complaints Management Policy
Appendix P – Complaints Leaflet
Appendix Q – PROD Annex Assessment
Appendix R – Telephone Recording Policy
Appendix S – Risk Summary Instructions
All Compliance Manual Appendices
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