REGULATORY DISCLOSURES

Important regulatory information

Regulatory Status

Aria Capital is authorised and regulated by the Central Bank of Ireland. Our registration number is [Registration Number]. You can verify our regulatory status on the Central Bank of Ireland's register.

Services Authorised

We are authorised to provide the following investment services:

  • Reception and transmission of orders in relation to financial instruments
  • Execution of orders on behalf of clients
  • Portfolio management
  • Investment advice

Conduct of Business

In providing our services, we are bound by the Central Bank of Ireland's Consumer Protection Code and other applicable regulatory requirements. These include obligations relating to:

  • Acting honestly, fairly, and professionally in the best interests of clients
  • Providing clear, fair, and not misleading information
  • Ensuring suitability of advice and investment decisions
  • Managing conflicts of interest
  • Best execution of client orders
  • Safeguarding of client assets

Client Categorisation

Under MiFID II regulations, we categorise our clients as Retail Clients, Professional Clients, or Eligible Counterparties. The categorisation determines the level of regulatory protection afforded to you. We will inform you of your categorisation and you may request a different categorisation, subject to eligibility criteria.

Conflicts of Interest

We maintain a Conflicts of Interest Policy to identify, prevent, and manage potential conflicts of interest. A summary of this policy is available upon request. Where conflicts cannot be adequately managed, we will disclose them to you before proceeding.

Order Execution Policy

We maintain an Order Execution Policy designed to obtain the best possible result for our clients when executing orders. This policy takes into account factors including price, costs, speed, likelihood of execution, and any other relevant considerations. A copy of our Order Execution Policy is available upon request.

Investor Compensation Scheme

As a regulated firm, we are a member of the Investor Compensation Scheme. This scheme provides compensation to eligible investors in the event that a firm is unable to return client assets due to its financial circumstances. The maximum compensation payable is 90% of the amount lost, up to a maximum of €20,000.

Complaints

We have established procedures for the effective handling of complaints. If you wish to make a complaint, please contact us in writing:

Compliance Officer
Aria Capital
Latin Hall, Golden Lane
Dublin D08 X2TH
Email: compliance@aria-capital.ie

If you are not satisfied with our response, you may refer your complaint to the Financial Services and Pensions Ombudsman (FSPO):

Financial Services and Pensions Ombudsman
Lincoln House, Lincoln Place
Dublin 2, D02 VH29
Website: www.fspo.ie

Risk Warnings

Capital at Risk: The value of investments and the income from them can fall as well as rise. You may not get back the amount you invested.

Past Performance: Past performance is not a reliable indicator of future results.

Currency Risk: If you invest in assets denominated in currencies other than Euro, changes in exchange rates may affect the value of your investment.

Market Risk: The value of investments may be affected by various factors including changes in market conditions, interest rates, and economic conditions.

Remuneration Policy

Our remuneration policy is designed to promote sound and effective risk management and to discourage excessive risk-taking. Details of our remuneration policy are available upon request.

Pillar 3 Disclosures

In accordance with the Capital Requirements Regulation, we publish certain information regarding our capital position and risk management practices. Our Pillar 3 disclosures are available upon request.

Sustainability Disclosures

In accordance with the Sustainable Finance Disclosure Regulation (SFDR), we provide information on how we integrate sustainability risks into our investment decision-making process. Further information is available upon request.

Modern Slavery Statement

Aria Capital is committed to preventing modern slavery and human trafficking in our operations and supply chain. We conduct our business in an ethical manner and expect the same standards from our suppliers and partners.

Contact Our Compliance Team

For any regulatory enquiries or to request copies of the policies mentioned above, please contact:

Compliance Department
Aria Capital
Latin Hall, Golden Lane
Dublin D08 X2TH
Email: compliance@aria-capital.ie
Phone: +353 1 XXX XXXX