Investor Protection
Investment firms like Wallam Capital adhere to financial regulations. In the UK, this encompasses MiFID II and other relevant regulations. Such oversight adds an extra layer of security for investors, ensuring that financial institutions comply with established rules and standards.
Increased protection for investors thanks to a regulated environment
Investors are protected for up to $100 000 under the investor compensation scheme
Your assets are held separately from Universal Prime Capital assets
Safeguarding of investor assets
At Wallam Capital, meticulous record-keeping and account management are of utmost importance. We maintain a clear distinction between Notes and investor funds and any assets owned by Wallam Capital. To ensure this, we conduct regular internal record reconciliation and employ robust controls to mitigate the risk of loss for our investors.
The financial instruments belonging to our investors are securely held in their individual financial instrument accounts, completely separate from Wallam Capital’s own assets.
Investors’ funds are safeguarded by being held in dedicated accounts within EU-licensed banks. These funds are exclusively utilized for executing investors’ orders, including investments and withdrawals, as well as covering applicable fees and charges payable to Wallam Capital. Importantly, they are held separately from Wallam Capital’s own assets, safeguarding them from any claims by creditors.”
The financial instruments belonging to our investors are securely held in their individual financial instrument accounts, completely separate from Wallam Capital’s own assets.
Investors’ funds are safeguarded by being held in dedicated accounts within EU-licensed banks. These funds are exclusively utilized for executing investors’ orders, including investments and withdrawals, as well as covering applicable fees and charges payable to Wallam Capital. Importantly, they are held separately from Wallam Capital’s own assets, safeguarding them from any claims by creditors.”
Investor-friendly presentation of information
To help investors make informed decisions about the investment, they are provided with standardized information in a consumer-friendly format. This information is designed to help investors understand the behavior of investment products and compare them with other products. Universal Prime Capital has also published several disclosures, such as information on investment risk and fees, and Key Information Documents.
Suitable and appropriate product offering
At Wallam Capital, we are obligated to protect investors from assuming excessive risks by evaluating their individual circumstances.
As part of our regulatory compliance, Wallam Capital ensures that investors are well-informed about the inherent risks associated with our investment products and that their financial situation aligns with their ability to bear these risks. To fulfill this obligation, we require investors to undergo an assessment that gauges whether our products align with their expectations, objectives, and are appropriate given their knowledge and experience.
The results of this assessment determine which products and services are made available to the investor. Investing on Wallam Capital involves risks, and, for instance, may not be suitable for investors seeking to solely preserve their capital.
As part of our regulatory compliance, Wallam Capital ensures that investors are well-informed about the inherent risks associated with our investment products and that their financial situation aligns with their ability to bear these risks. To fulfill this obligation, we require investors to undergo an assessment that gauges whether our products align with their expectations, objectives, and are appropriate given their knowledge and experience.
The results of this assessment determine which products and services are made available to the investor. Investing on Wallam Capital involves risks, and, for instance, may not be suitable for investors seeking to solely preserve their capital.
