Other Compulsory Information

Banco Finantia, S.A., headquartered in Rua General Firmino Miguel nº 5, 1600 - 100 Lisboa, Portugal is registered at the Conservatória de Registo Comercial de Lisboa under the unique number and a legal person (registration 501.897.020), with share capital of €150.000.000.

Banco Finantia is duly registered:

Code of Conduct and Related Policies

Conflict of Interest Policy - See here
Code of Conduct - See here
Policy on Prevention, Reporting and Remedying of Conflicts of Interest involving Related Parties - See here (portuguese version)
Reporting of Irregularities Policy - See here
Policy for the Selection and Assessment of Suitability of Members of the Management and Supervisory Bodies and Key Function Holders - See here
Internal procedure for the selection and contracting of services to the Statutory Auditor or to the Statutory Auditor Companies – See here
Anti-corruption Policy - See here
Risk Prevention Plan for Corruption and Related Infractions - See here

Remuneration Policy

Remuneration policy for members of the management and supervisory bodies - See here

Remuneration Policy for Employees identified as Holders of Essential Functions (portuguese version) - See here

Prevention of Money Laundering and Terrorist Financing

Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) Statement - See here
Sanctions Compliance Statement - See here
Anti-money Laundering - the Wolfsberg Group Questionnaire - See here
US Patriot Act Certificate - See here

Sustainability

Policy on Integration of Sustainability Risks in Customer Financial Services - See here

Financial Intermediation

Financial Instruments Markets

Order Execution Policy - See here
Complementary Customer Information - See here
Information on Costs and Charges (portuguese version) - See here
Customer Asset Protection Policy - See here

Exemptions

Information on existing exemptions - See here

Best Execution

RTS 28 - Main Execution Platforms

2022
Bonds - See here

2022
Equities - See here

2021
Bonds - See here

2021
Equities - See here

2020
Bonds - See here

2020 - Finantia UK Limited
Bonds - See here

2019
Bonds - See here

2019
Equities - See here

RTS 27 (Commission Delegated Regulation (EU) 2017/575 of 8 June 2016) - Quality of execution of transactions

2020 - Banco Finantia S.A.

October to December

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Banco Finantia S.A. accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2020 - Banco Finantia S.A.

July to September

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Banco Finantia S.A. accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2020 - Banco Finantia S.A.

April to June

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Banco Finantia S.A. accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2020 - Banco Finantia S.A.

January to March

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Banco Finantia S.A. accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2020 - Finantia UK Limited

January to March

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Finantia UK Limited accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2019 - Banco Finantia S.A.

October to December

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Banco Finantia S.A. accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2019 - Finantia UK Limited

October to December

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Finantia UK Limited accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2019 - Banco Finantia S.A.

July to September

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Banco Finantia S.A. accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2019 - Finantia UK Limited

July to September

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Finantia UK Limited accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2019 - Banco Finantia S.A.

April to June

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Banco Finantia S.A. accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2019 - Finantia UK Limited

April to June

Table 1 - Type of execution venue - See here
Table 2 - Type of financial instrument - See here
Table 3 - Price information - See here
Table 4 - Price information - See here
Table 6 - Likelihood of execution information - See here
Table 9 - Information - See here

Disclaimer: Finantia UK Limited accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2019 - Banco Finantia S.A.

January to March

• Table 1 - Type of execution venue - See here
• Table 2 - Type of financial instrument - See here
• Table 3 - Price information - See here
• Table 4 - Price information - See here
• Table 6 - Likelihood of execution information - See here
• Table 9 - Information - See here

Disclaimer: Banco Finantia S.A. accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2019 - Finantia UK Limited

January to March

• Table 1 - Type of execution venue - See here
• Table 2 - Type of financial instrument - See here
• Table 3 - Price information - See here
• Table 4 - Price information - See here
• Table 6 - Likelihood of execution information - See here
• Table 9 - Information - See here

Disclaimer: Finantia UK Limited accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.

2022 - Finantia USA 

• Disclosure Letter – See here

Disclaimer: Finantia USA accepts no responsibility or liability for any loss or damage arising from the use of the information in the reports and does not permit any third party to use the data published without prior agreement.