Compliance

Your representative within City Equities Limited

Our compliance department, headed by the Senior Compliance Officer, is here to make sure that we comply with the Financial Services and Markets Act 2000 ('FSMA'). You can think of the Senior Compliance Officer as your eyes and ears at City Equities Limited.

Abiding by the spirit of the law as well as the letter

This means you can be confident that we conduct our business in a manner that conforms to the legal, ethical and regulatory standards required of us. They produce a compliance manual that is given to every member of staff, who also receive specialist training in compliance issues. And, in the event that you have a complaint, the Senior Compliance Officer is your primary contact. We guarantee to acknowledge a complaint in writing within five days and we will respond formally in writing within two months.

"Clear, fair and not misleading"

Printed materials are also subject to the 'FSMA', and we ensure that all out literature is "clear, fair and not misleading" as the Regulator requires. That goes for the brochure you're reading now.

Contact Details

If you have any complaint about our service to you, please put it in writing to:

Senior Compliance Officer
City Equities Limited
Aldermary House
10-15 Queen Street
London EC4N 1TY


City Equities Limited is Authorised and regulated by the Financial Services Authority (FSA). Our FSA Registration Number is 155051.

Issued by:

City Equities Limited
Aldermary House
10-15 Queen Street
London EC4N 1TY
Telephone: 020 7489 5555
Fax: 020 7489 5566


A copy of our internal complaints procedures are available on request as required by our regulator.



Risk Warning

There is an extra risk of losing money when shares are bought in some smaller companies including 'Penny Shares'. There is a big difference between the buying price and the selling price of these shares. If they have to be sold immediately, you may get back much less than you paid for them or you may have difficulty in selling them. Past performance is not a reliable indicator of future results. The price may change quickly and it may go down as well as up. You could lose every penny put into a particular share.

The information contained above has been compiled from documented sources which are believed to be reliable but, due to their very nature, are subject to a degree of historical inaccuracy and have not been independently verified and cannot be guaranteed. The pages on this website are provided for information only. City Equities Limited will not accept responsibility for loss incurred by any person or body acting, or refraining from acting, as a result of information and/or opinions given anywhere on this website. Issued by City Equities Limited, Aldermary House, 10-15 Queen Street, London, EC4N 1TY. Registered in England. Registered No. 2742847. Registered Address: Amwell House, 19 Amwell Street, Hoddesdon, Herts. EN11 8TS. City Equities Limited is Authorised and regulated by the Financial Services Authority. Registration No. 155051.