Legal
The finer details
Legal Information
- KBC Peel Hunt Ltd is registered in England and Wales No: 2320252.
- KBC Peel Hunt Ltd is part of KBC Group NV.
Copyright statement
Unless otherwise stated, we own the copyright and any other rights in all material on this website, any part of this work covered by copyright may only be reproduced or copied with the formal consent of the company.
- Accessibility Policy
- Privacy Policy
- Terms & Conditions
- Research Conflicts Policy
- Markets in Financial Instruments Directive (“MiFID”)
- Venues of Execution
- Conflicts of Interest Policy
- Order Execution Policy
Privacy policy
KBC Peel Hunt is committed to protecting your privacy. While the range of products and services we offer our clients continues to expand and the technology we use changes, our foremost concern is to protect your privacy. To this end, employees of KBC Peel Hunt are required to adhere to strict internet privacy standards established by our Managing Directors.
Safeguarding client's personal information
This is what we mean when we say we protect our clients' privacy:
- We keep client information and the business they do with us in the strictest confidence
- We do not sell, trade or rent client information
- We have control over how we obtain, use and give out account information about our clients
- We respect our clients' privacy when marketing our products and services
- We take steps to adhere to our obligations and to protect our clients' rights under data protection laws
Limiting employee access
We take steps to protect our client's information from error, loss and unauthorised access. Employees with access to client information are aware of the measures inherent in maintaining confidentiality. Each employee must sign an agreement stating that maintaining confidentiality is a condition of employment. Our computer security specialists act to ensure security measures are in place to protect client information at all times. Whether stored in data files, or utilised by our employees.
Collection and usage of client information
Why we need information
As our clients change the types and/or quantities of products and services they require, they may be asked to provide additional information in order to:
- Establish identification
- Help protect from error and fraud
- Provide ongoing services
- Meet legal regulatory requirements
We may verify some of the information clients give us with their employers or other references.
We may review and analyse clients use of our products and services, including account transactions, to help protect our clients from unauthorised use of account(s), to help us better serve our clients, and to bring other products and services to their attention. We may also collect and analyse information from other sources for the same purposes.
On this website, we may also request information from users so that we may provide them with access to subscription or other services. The information we request (which includes the user's name, company and contact details) enables us to provide and monitor ongoing use of those services.
If you contact us through this website regarding employment opportunities, we may also request from you a copy of your résumé and personal details relating to your employment application. That information will be used for the purpose of assessing your application, and we shall ensure that its collection and use is in accordance with this privacy policy and our obligations under data protection laws.
Information used only with client consent
We obtain client consent before we:
- Offer clients other products and services
- Send clients information about products and services through direct marketing
- Disclose to other persons information about our clients unless we are obligated to do so by law or to protect our client's interests
Sharing of information with third parties
We do not share information about clients with our service providers or offer it to parties outside KBC Peel Hunt without client consent.
However, we may collect, use or disclose information without client consent if we:
- Must disclose information for legal reasons. We may be required to release information by a court of law, or other legal or regulatory authorities or agencies. If so, our guideline is to release information only to the extent required and to ensure that the relevant governmental or regulatory agency has invoked the appropriate authority, forcing us to release information we have about the client
- Must prepare a required risk management profile or must perform a necessary credit check
- Must disclose information in order to process client trades. For example, disclosure to clearing agencies, exchanges, our clearing brokers, clients' "prime" brokers or clearing agents, brokers used to execute, etc
Transfers outside the EEA
Except as set out above, we will not share information about clients with anyone outside KBC Peel Hunt Group. However, some of our affiliates within KBC Peel Hunt may be outside the European Economic Area. Some of these countries do not always have strong data protection laws. However, we will always take steps to ensure that personal information relating to clients is used in those jurisdictions in accordance with this privacy policy.
Consent and "opt out"
We rely on clients' implied consent to use and disclose identifying information, such as clients' names and addresses. Clients may withdraw their consent in writing at any time, provided no legal requirements exist to prevent this. However, if the clients do not consent to certain uses of information, or if they withdraw ("opt out") their consent, we may not be able to provide them a particular product or service.
We may, from time to time, and with their consent, provide clients with materials and information by way of direct marketing using the contact details provided by them. If at any time, a client wishes to opt out of receiving such direct marketing materials, they can do so by contacting our data protection manager on the contact details below.
Client record maintenance
Clients have access to their own account contact information (i.e., legal entity names and addresses, phone and fax numbers, e-mail addresses, physical and trading addresses, contact names, etc.). We will keep this information on record for the time period stipulated by the regulator. Clients may check their account information for verifications, updates, corrections and to delete obsolete information.
Clients may access the information we collect about them at any time. To enquire about accessing your personal data, please contact our data protection manager on the contact details below.
Compliance
We have strict guidelines and procedures in place to ensure that our employees maintain client privacy. These guidelines are reviewed by staff independent of both the Information Technology group and the firm's various business areas.
Use of cookies
We use cookies on our website. Cookies are small files which can be placed on your computer's hard disk. Cookies make it easier for you to log on and use the site during future visits. They allow us to monitor website traffic and to personalise the content of the site for you.
You are not obliged to accept a cookie that we send to you, and you can in fact set up your computer to reject cookies. However, if you disable cookies you may not be able to use certain features of our site. Unless you have indicated your objection when disclosing your details to us, a system will issue cookies to your computer when you log onto the site. If you do not wish to receive cookies in the future, please let us know.
Why not tell us what you think?
We are committed to ensuring a high quality of service to our clients. We welcome any comments or concerns about our privacy guidelines, and we are committed to working with you in achieving a successful resolution.
If you have any questions relating to this policy then please contact us at:
- Name: Simon Chambers
- Address: 111 Old Broad Street, London EC2N 1PH
- Telephone: +44 20 7418 8988
- email: simon.chambers@kbcpeelhunt.com
This website is governed in accordance with the laws of England.
Disclaimer Risk warning and Terms & Conditions
KBC Peel Hunt Ltd is a member of the KBC Group, the London Stock Exchange and PLUS Markets Group, and is authorised and regulated by the Financial Services Authority.
The material contained on this website is issued by KBC Peel Hunt through its relevant group companies. Each company in the group that has contributed to the website takes full responsibility for its issuance and approval. The information contained in this website is general in nature. It is for your information only. No solicitation or offer is made hereby.
KBC Peel Hunt is primarily an Institutional Broker. Except as required by law or the rules of its regulators, no member of KBC Peel Hunt will be liable, whether in negligence or otherwise, for this material, or the consequences of relying on it. KBC Peel Hunt assumes no responsibility for any update of this material. Calls may be monitored or recorded for quality and security purposes. Investors must assess for themselves whether any investment service or product offered by any KBC Peel Hunt member is suitable for their own investment purposes before purchasing or using such service or product. It is recommended that such an assessment be made in conjunction with an investor's own independent advisors and after the review of any applicable disclosure documents.
Users of this website should be aware of the following:
The investments and investment services described or recommended on this website may not be suitable for all people. You should seek your own professional advice as to the suitability of any such investment or service before you enter into any transaction. Any information relating to past performance of an investment or investment service is not necessarily a guide to future performance. The value of investments and the income derived from them may go down as well as up and you may not receive back all the money which you invest. Fluctuations in the rate of exchange may have an adverse effect on the value, price or income of non-sterling denominated investments. KBC Peel Hunt , its associates, employees and/or clients may own or have a position in securities referred to on this website or may have provided advice or investment services in relation to any such security.
Before publishing any research recommendation KBC Peel Hunt and its associates, employees and/or clients may have acted upon the recommendation or made use of the information on which it is based.
The information contained on this website is not intended to be an offer to buy or sell securities and this website should not be regarded as an offer or solicitation to conduct investment business as defined by the UK Financial Services and Markets Act 2000.
Nothing on this website is intended to exclude or restrict any duty or liability which KBC Peel Hunt may have under the Financial Services and Markets Act 2000 (or any replacement legislation) or the rules and regulations for the conduct of business made thereunder.
For the purposes of the Financial Services and Markets Act 2000 this website has been approved by KBC Peel Hunt Ltd which is authorised & regulated by the Financial Services Authority.
INFORMATION: Where Information consists of pricing or performance data, the data contained therein has been obtained from company reports, financial reporting services, periodicals, and other sources believed reliable. Although carefully verified, data computations are not guaranteed by KBC Peel Hunt or any of the Data Providers or affiliates and may not be complete. Neither KBC Peel Hunt nor any of its Data Providers or affiliates make any warranties expressed or implied, as to the accuracy, adequacy, quality or fitness for any particular purpose of the Information or the Services and all such warranties are expressly excluded to the fullest extent that such warranties may be excluded by law. You bear all risks from any uses or results of using any Information. You are responsible for validating the integrity of any Information received over the Internet.
INDEMNITY: You will indemnify KBC Peel Hunt and keep KBC Peel Hunt indemnified against all losses, expenses, costs and liabilities (together "losses") which arise as a result of or in connection with your breach of these terms and conditions or the proper provision by KBC Peel Hunt of the Services.
LIABILITY: Due to the nature of electronic distribution via the world wide web KBC Peel Hunt shall not be liable for any losses suffered or incurred by you unless such losses are suffered or incurred as a result of KBC Peel Hunt 's fraud, negligence or breach of these terms and conditions. KBC Peel Hunt shall not be liable for any losses suffered as a result of your inability to gain access to the website or any part thereof or for any consequential loss or loss of profit whether arising from our negligence or otherwise. This provision shall not exclude or restrict any duty or liability which we have in relation to you under the FSA rules or the FSMA Act.
CESSATION: KBC Peel Hunt reserves the right to withdraw or suspend the Services at any time without notice. KBC Peel Hunt will give clients not less than 14 days notice if it proposes to withdraw the services which are accessed using the username and password.
AGREEMENT: These terms and conditions supplement any existing terms and conditions between you and KBC Peel Hunt, and together these constitute the whole agreement between you and KBC Peel Hunt. To the extent that there is any inconsistency between these terms and conditions and your existing terms and conditions, then these terms and conditions shall prevail in respect of the Services. KBC Peel Hunt may from time to time make changes to these terms and conditions which will take effect when they are posted on this website (changes which, in KBC Peel Hunt 's reasonable opinion, materially affect your rights or obligations will be posted on the website 14 days before they take effect).
The information and services described on this website are not intended to be used by, or to be available to, persons accessing the website from outside the United Kingdom.
Research Conflicts Policy
Research Conflicts Policy (PDF 119KB)
Markets in Financial Instruments Directive (“MiFID”)
MiFID comes into effect on 1 November 2007, when it will replace the existing Investment Services Directive (ISD). MiFID extends the coverage of the current ISD and introduces new and more extensive requirements that firms will have to adapt to, in particular for their conduct of business and internal organisation.
The aim of the ISD was to set out some basic high-level provisions governing the organisational and conduct of business requirements that should apply to firms. It also aimed to harmonise certain conditions governing the operation of regulated markets. MiFID has the same basic purpose but it makes significant changes to the regulatory framework to reflect developments in financial services and markets since the ISD was implemented.
Venues of Execution
The London Stock Exchange and PLUS Markets.
Conflicts of Interest Policy
Conflicts of Interest Policy (PDF 16KB)
