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APT Wealth Management Limited
As a MiFID authorised investment firm we are subject to the European Union Capital Requirements Directive IV (CRD IV) and Capital Requirements Regulation (CRR). The CRD applies the Basel capital adequacy framework to all investment firms, building societies and banks. Part of our obligations are to provide you with our Pillar 3 document which sets out key information about our risk exposures and risk management process.
Authorised To Hold Client Assets
As a MiFID Investment firm authorised to hold client assets we are subject to the Investment Firms Regulations 2017 which aim to protect and safeguard your assets and try to eliminate as much risk as possible for you the consumer. Although the Client asset regime cannot fully eliminate all risks relating to client assets e.g. fraud or negligence, they have put in place certain regulations to safeguard the handling of client assets. A copy of the regulations and guidance can be found on the Central Bank of Ireland’s website.
Part of our obligation under the Investment Firms Regulations 2017 is to provide you with a Client Asset Key Information Document (CAKID).
This document will set out key information for you as a consumer, if you have any questions or need more information we have a dedicated Compliance team on hand to answer any queries.