Compliance & Regulatory

Last Updated: 21 Dec 2021

1. Regulatory Framework

TENBAGGER LIMITED is committed to the highest standards of regulatory compliance. We operate within the legal framework of the United Kingdom and adhere to all relevant financial services regulations. Our expertise includes guiding clients through regulatory requirements and maintaining best practices in compliance.

2. Anti-Money Laundering (AML) & KYC

We maintain robust Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) procedures. In accordance with the Money Laundering, Terrorist Financing and Transfer of Funds Regulations, we conduct thorough due diligence on all clients through our "Know Your Customer" (KYC) protocols.

This process involves:

  • Verifying the identity of individual clients and beneficial owners of corporate entities.
  • Understanding the source of wealth and source of funds for all transactions.
  • Ongoing monitoring of business relationships to identify and report suspicious activities.

3. Data Protection Compliance

As a data controller, Bagger Capital Limited is registered with the Information Commissioner's Office (ICO). We comply with the UK Data Protection Act 2018 and the UK GDPR, ensuring that personal data is processed fairly, lawfully, and transparently. For more details, please refer to our Privacy Policy.

4. Ethical Conduct & Conflicts of Interest

Our firm adheres to a strict Code of Ethics. We have comprehensive policies in place to identify, manage, and disclose any potential conflicts of interest that may arise during our business operations. Our priority is always the best interests of our clients and the maintenance of market integrity.

5. Complaints Handling

We take all client feedback seriously. Our formal complaints procedure is designed to ensure that any issues are handled fairly, consistently, and promptly. If you are not satisfied with our response, you may have the right to refer your complaint to the Financial Ombudsman Service (FOS).

6. Professional Standards

Bagger Capital Limited maintains appropriate professional indemnity insurance and ensures that all employees meet the necessary competency standards for their respective roles. We are committed to ongoing professional development and training in compliance and ethics.

7. Contact Compliance

For any regulatory or compliance-related inquiries, please contact our Compliance Officer:

Email: care@baggercapital.uk

Address: 210-213 Great Portland Street, 5th Floor, London, United Kingdom, W1W 5PF