Heronbridge Investment Management LLP is authorised by the Financial Conduct Authority in the United Kingdom and is registered as an investment adviser with the Securities and Exchange Commission in the United States. Heronbridge is thereby regulated by both the FCA and the SEC in the conduct of its investment business.
As required under BIPRU 11 of the Financial Conduct Authority Handbook, a summary of Heronbridge’s risk management objectives and policies, capital computation and computation methods, data on capital resources and other information required under the rules is available here.
Information relating to the UK Stewardship Code and Heronbridge’s proxy voting and corporate governance policy is available here.
Heronbridge's Data Protection policy is available here.
Under the Markets in Financial Instruments Directive 2014/65/EU (commonly known as "MiFID II") Heronbridge is required to provide annual reporting on its best execution arrangements. Heronbridge's best execution summary is available here.
For the purposes of United Kingdom Offshore Funds legislation reports to investors for the Heronbridge United Kingdom Equity Fund are available here
The FCA requires Heronbridge to record certain telephone conversations. Current and prospective clients and their representatives should note that all discussions with Heronbridge may be subject to recording, and that these recordings are retained in accordance with Heronbridge's standard document retention procedures.