Conflicts Disclosure

About Us

Cenkos Securities is an independent, specialist institutional securities firm.

Located in Tokenhouse Yard, in the heart of the City, our principal activities are corporate finance, corporate broking, institutional stockbroking, investment funds, institutional equities and market making.

Our directors and senior management have on average more than 25 years' experience in the UK securities market. They have pioneered and led some of the most successful and innovative transactions in the UK securities market over the last decades.

 

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Our Locations

6.7.8 Tokenhouse Yard
London
EC2R 7AS
T: +44 (0) 20 7397 8900
F: +44 (0) 20 7397 8901
E: info@cenkos.com

3rd Floor 66 Hanover Street
Edinburgh
EH2 1EL
T: +44 (0) 131 220 6939
F: +44 (0) 131 220 2051
E: info@cenkos.com

Mezzanine Level
Exchange Station
Tithebarn Street
Liverpool
L2 2QP
T: +44 (0) 151 640 0510
E: info@cenkos.com

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Conflicts Disclosure

In accordance with regulatory requirements, we have taken reasonable steps to identify conflicts of interest that exist, or may exist, between Cenkos Securities Plc ("Cenkos") and its clients or between the services Cenkos provides to one client and another.

We have also reviewed the organisational and administrative arrangements in place to manage such conflicts and are of the view that, save for the matters outlined below, they are sufficient to ensure with reasonable confidence, that risk of damage to clients' interests will be prevented.

From our Conflicts of Interest Policy, we have identified the following areas where we are not certain that we can manage the conflict (or potential conflicts) fully and thus we hereby advise our clients of this fact.

The general nature and/or source of these conflicts are:

  • dealing as principal for our or its own account by selling the investment concerned to you or buying it from you;
  • matching your transaction with that of another customer by acting on his behalf as well as yours;
  • buying investments where we are or a connected company is involved in a new issue, rights issue, takeover or similar transaction concerning the investment or a related investment;
  • holding a position in the investment or a related investment; or
  • executing or arranging for transactions on behalf of or in the name of any company involved in the transaction.
  • Cenkos produces research which is non-independent and is clearly labelled as a marketing communication.  It is not prepared in accordance with the legal requirements to promote the independence of research.  In particular Cenkos' analysts may participate in pitches for corporate finance business, be involved in road shows or issuer marketing and publish research and other information to its institutional buy-side clients in relation to companies where Cenkos has, or seeks to have, a corporate relationship.
  • Cenkos'research is not subject to any prohibition on dealing ahead of its dissemination.  However, Cenkos takes steps designed to ensure its research is disseminated simultaneously to its clients and internally.
  • In carrying out Cenkos's business, employees may learn confidential or proprietary information about its clients, their underlying clients, prospective clients and underlying clients or other third parties. However, our employees are required to comply with a policy of independence and disregard any such interest, relationship or arrangement when dealing for you to ensure that you are dealt with in a fair way regardless of any conflict that may arise.

This conflicts disclosure is not intended to, and does not, create rights or duties that would not exist if the disclosure had not been made available, nor does it form part of any contract between Cenkos Securities Plc and any Client.