REGULATORS STATEMENT
WE ARE REGULATED BY THE FINANCIAL SERVICES AUTHORITY AND THE COMPANY AND IT'S ADVISERS ARE BOUND BY THE F.S.A'S RULES. THOSE WHO ADVISE ON LIFE ASSURANCE, PENSIONS, OR UNIT TRUST PRODUCTS ARE EITHER INDEPENDENT ADVISERS OR REPRESENTATIVES OF ONE COMPANY. YOUR ADVISER IS INDEPENDENT AND WILL ACT ON YOUR BEHALF IN ADVISING YOU ON LIFE ASSURANCE, PENSIONS OR UNIT TRUST PRODUCTS. BECAUSE YOUR ADVISER IS INDEPENDENT HE OR SHE CAN ADVISE YOU ON THE PRODUCTS OF DIFFERENT COMPANIES.
We confirm that we shall be pleased to advise you in connection with your Life Assurance, Pension, Unit Trust and Unit Trust PEP arrangements.
When we have arranged any investments for which you have given instructions we will not give you any further advice unless you request it, but will be glad to advise you at any time you ask us to do so.
We normally require written instructions before we act on a client's behalf, however, we may at our discretion accept verbal instructions. You, or we, may terminate our authority to act on your behalf at any time, without penalty. Notice of this termination must be given in writing.
Details of how we take our remuneration are enclosed in the accompanying ‘Key Facts About the Costs of Our Services’ document.
D J Cooke (Life & Pensions) Ltd has two partners or directors who are engaged in the day-to-day conduct of investment business. They are David J Cooke and Paul A Cuffling and can be contacted at: D J Cooke (Life & Pensions) Ltd , 32/34 Church Street, Conisbrough, Doncaster, DN12 3HR, 01709 863318/864414.
D. J. Cooke (Life & Pensions) Ltd do not handle client money. We never accept a cheque made out to us (unless it is a cheque in settlement of charges or disbursements for which we have sent you a bill) or handle cash. We will make arrangements for all your investments to be registered in your name unless you first instruct us otherwise in writing. We will forward to you all documents showing ownership of your investments as soon as practicable after we receive them; where a number of documents relating to a series of transactions is involved, we will normally hold each document unless the series is complete and then forward them to you.
We undertake not to transact any business on your behalf in which we may have a personal interest, unless such an interest has been disclosed to you in writing, nor will we transact any business on your behalf, in which another of our clients has such an interest, unless such an interest is disclosed to you in writing, and your consent obtained.
We keep records of our business transactions for at least six years and you have the right to inspect our records relating to your transactions.
For your further information we would confirm that this company maintains professional indemnity insurance.
Any complaints should be addressed to the M.D - D. J. Cooke (Life & Pensions) Ltd at our Conisbrough office. If you make a valid claim against D J Cooke (Life & Pensions) Ltd in respect of the investments we arrange for you and we are unable to meet our liabilities in full, you may be entitled to redress from the Investors Compensation Scheme; details of the cover provided by the Scheme are given in a leaflet, which we will send you at your request.
Yours sincerely
Directors - D. J. COOKE P.A. CUFFLING
D.J. Cooke (Life & Pensions) Ltd