Regulatory

Pillar 3 Disclosures

To view a copy of Harvest Financial Services Limited Pillar 3 Disclosures click here.

Top Five Trading Venues.

Harvest Financial Services Limited is deemed authorised under Regulation 5(2) of the European Union (Markets in Financial Instruments) Regulations 2017 (as amended) (MiFID) for the provision of the investment service of the reception and transmission of orders in relation to transferable securities, money-market instruments and units in collective investments undertakings.

Under MiFID, we:

  • are not authorised to execute orders;
  • do not select other firms to provide order execution services;
  • only transmit orders for execution to other firms with which our retail clients hold an account;
  • have to provide information regarding the top five firms in terms of volumes where we transmitted orders to for execution.

Based on data for 2017, the top five firms to which orders were transmitted were as follows:

  1. Investec;
  2. Stocktrade;
  3. Conexim;
  4. Merrion; and
  5. Blackbee

Our retail clients should review the firm’s website, with which they hold an account, for details of the top five execution venues.