Regulatory
Audere Solutions Ltd has been authorised and regulated by the Financial Conduct Authority since 5 January 2016 under firm reference number 707835.
Regulation shapes how our advice is delivered, conflicts are managed and client instructions are handled and recorded. Our recommendations are supported by independent data, documented analysis and clear governance.
Advice with accountability
Audere provides professional advice, not simply access to financial products or execution providers.
Where we are engaged to advise, we provide a documented professional view based on the client’s objectives and circumstances. Our responsibilities and the scope of each engagement are clearly defined within our contractual terms.
Our regulatory permissions
Audere is permitted to:
Advise on investments, excluding pension transfers and pension opt-outs.
Arrange and bring about deals in investments.
Make arrangements with a view to transactions in investments.
Agree to carry on these regulated activities.
These permissions cover commodity futures and options, other futures and options, rolling spot foreign-exchange contracts and structured deposits.
Our regulated services are available to Professional Clients and Eligible Counterparties. Audere is not authorised to provide these services to Retail Clients.
Execution and client money
Audere may advise on and arrange transactions but does not deal as principal or act as custodian. We cannot hold or control client money.
Transactions are executed directly with appropriately authorised third-party banks, brokers or other financial institutions. Audere provides advice, analysis and transaction support while client funds remain with the relevant provider.
Conflicts and transparency
We identify and manage potential conflicts of interest and disclose them where required. Advice is developed around the client’s objectives and supported by independently sourced market information.
Recommendations, client instructions and relevant communications are recorded to maintain a clear and auditable decision trail.
Governance and assurance
Our governance framework includes compliance oversight, documented policies, staff training, record-keeping and ongoing monitoring of regulated activities.
Our systems and control environment are also subject to independent AAF/SOC assurance, covering control design and operating effectiveness.
Analytics and technology services
Audere also provides analytics, software and other services that may fall outside the scope of FCA regulation. The regulatory status and protections applying to a service will depend on the nature of the engagement and will be set out in the relevant contractual documentation.
Complaints and client protection
We aim to resolve concerns fairly and promptly. Complaints may be submitted to:
Compliance Officer
Audere Solutions Ltd
Fourth Floor, 97 Jermyn Street
London SW1Y 6JE
compliance@auderesolutions.com
The Financial Ombudsman Service may be able to consider complaints relating to certain activities. The Financial Services Compensation Scheme may also provide protection in limited circumstances. Eligibility depends on the client, activity and circumstances of the claim, and is determined by the relevant organisation.
Important information
Information on this website is provided for general information only. It does not constitute investment advice, an offer, a recommendation or an invitation to enter into a transaction.
Derivative transactions involve financial risk and may not be suitable for every organisation. Clients should obtain advice appropriate to their circumstances before acting.
Company information
Audere Solutions Ltd is registered in England and Wales under company number 09181148.
Registered office: Fourth Floor, 97 Jermyn Street, London SW1Y 6JE
FCA firm reference number: 707835