Documentation

Our clients are all investment firms, therefore we cannot deal with members of the public.

Terms and Policies

• Terms of Business – Effective from 01/01/22
• Brexit FAQs for Clients
• Terms of Business - Effective to 31/12/20 
• Electronic Trading Terms of Business
• Order Execution Policy
• Conflicts of Interest Policy
• Complaints Procedure Summary
• Anti-Bribery and Corruption
• Anti-Money Laundering
• Privacy Notice 
• Modern Slavery Act 2015
• Companies Act s172 statement
• Winterflood Securities Limited CSDR Disclosure 
• Indications of Interest Disclosure

Financial Disclosures

• Risk Warning Disclosure

Other Documentation

• Greenbook
• MIFIDPRU Disclosure

Regulatory Information

• 2020 Top Five Execution Venues - Summary 
• 2020 Top Five Execution Venues - Execution
• 2020 Top Five Execution Venues - Transmission
• 2019 Top Five Execution Venues - Summary 
• 2019 Top Five Execution Venues - Execution
• 2019 Top Five Execution Venues - Transmission
• 2018 Top Five Execution Venues - Summary
• 2018 Top Five Execution Venue - Execution
• 2018 Top Five Execution Venue - Transmission
• Execution Venue Report - Summary
• Execution Venue Report - Tables
• MiFID II WINNER FIX message requirements
• MiFID II WIN-X FIX message requirements
• MIC Updates