ABOUT ESTEEMA CAPITAL PARTNERS

ESTEEMA CAPITAL PARTNERS

Legal & Compliance

Regulatory – Compliance – Governance

Regulated Structure | Institutional Discipline

Governance & Compliance Framework

Esteema Capital Partners, trading as Esteema Financial Solutions Ltd, operates within a robust governance and compliance framework aligned with UK regulatory standards and institutional best practice. Governance is embedded across all advisory and execution activities to support risk management, client protection, confidentiality, and transaction integrity.

Regulatory Authorisation

Authorised and regulated by the Financial Conduct Authority
FCA Firm Reference Number (FRN): 471068
Status verifiable on the FCA Register

Services are delivered strictly within permitted regulatory scope, with clear separation between regulated, unregulated, and introducer roles.

Compliance & Due Diligence

KYC verification
AML checks
Source of funds & wealth assessments
Sanctions, PEP & adverse-media screening

Applied prior to engagement and monitored throughout the relationship.

Confidentiality & Data Protection

Registered with the Information Commissioner’s Office – ICO No. Z9947065
Secure systems, NDAs, and controlled data-sharing ensure information protection at all times.

Risk & Conflict Management

Conflict of interest controls
Credit, structural, market & legal risk review
Transaction oversight and governance thresholds

Only transactions meeting internal risk standards proceed.

Corporate Registration

Registered in England & Wales – Company No. 05911084
Registered with HM Revenue & Customs
VAT No: 992 3687 67

Regulatory Disclaimer

Information is for general purposes only and does not constitute investment, legal, tax, or financial advice, nor an offer or solicitation.

Interest rates, pricing, and financial terms are indicative only and subject to market conditions, due diligence, and formal approval.

Past performance or projections are not reliable indicators of future results. Clients and counterparties should obtain independent professional advice before entering into any transaction.

Business Terms & Conditions

Engagement | Responsibilities | Framework

Esteema Capital Partners, trading as Esteema Financial Solutions Ltd, provides advisory and execution services across two core areas:
• Capital & Investment Advisory
• Estate & Asset Transactions

These terms apply to all engagements and should be read alongside our Engagement Letters, Privacy Policy, IDD, and Treating Customers Fairly (TCF) Statement.

Regulatory Status

Authorised and regulated by the Financial Conduct Authority.
Services are delivered strictly within applicable regulatory permissions and defined in each Engagement Letter.

Scope of Services

Capital structuring, financing, and investment advisory
Strategic acquisitions, disposals, and transaction support
Financial analysis, due diligence, and execution coordination

Esteema acts as an advisor and arranger only and does not act as lender, principal, fiduciary, or discretionary manager unless agreed in writing. Funding, pricing, and completion are not guaranteed and remain subject to market conditions and third-party approvals.

Fees & Transparency

Fees are structured based on complexity, scope, and milestones.
Where applicable, commissions or third-party payments may be received and will be disclosed in line with regulatory requirements.

Client Responsibilities

Clients must provide accurate, timely information and obtain independent legal, tax, accounting, and valuation advice. Acceptance of conditional or credit-back offers confirms responsibility for satisfying associated conditions.

Risk, Compliance & Confidentiality

Engagements operate under strict governance standards including:

KYC & AML checks
Sanctions screening
Data protection & confidentiality controls
Conflict of interest management

No Reliance & Limitation

Information provided is for advisory purposes only and does not constitute legal, tax, or investment advice. Decisions should not be made without independent professional advice. Liability is limited to the fullest extent permitted by law.

Treating Customers Fairly

We commit to transparency, suitability, fairness, and prompt resolution of issues.

Complaints

Complaints are handled promptly and fairly. If unresolved, eligible clients may escalate to the Financial Ombudsman Service.

Governing Law

These terms are governed by the laws of England and Wales. Engagement Letters prevail in the event of inconsistency.

Our Commitment

We aim to build long-term advisory relationships, supporting clients through ongoing capital, investment, and transaction needs.

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Disclaimer | Privacy Policy | Cookies Policy | Terms of Use

Esteema Capital Partners operates through two complementary advisory disciplines:
• Capital Funding & Investment Advisory
• Strategic Estate & Asset Transaction Advisory

Each service has distinct regulatory and execution considerations. Separate disclaimers apply alongside our Business Terms & Conditions and engagement documentation.

1. Capital Funding & Investment Advisory – Disclaimer

Information relating to funding, financing, capital raising, or investment processes is for general informational purposes only and does not constitute financial, legal, tax, or investment advice.

Services are provided on a best-efforts advisory and arranging basis only. Esteema does not act as a lender, investor, guarantor, or principal.

We do not guarantee:

Funding availability
Pricing, leverage, or structure
Approval timelines
Completion of any transaction

All offers or credit terms from lenders/investors are conditional, subject to due diligence, valuations, documentation, regulatory checks, and client-provided information. Clients remain responsible for reviewing documents and obtaining independent professional advice.

Esteema is not liable for third-party delays, credit decisions, valuation outcomes, or transactions that do not complete.

2. Strategic Estate & Asset Transactions – Disclaimer

Information relating to acquisitions, disposals, or asset opportunities is provided for information only and does not constitute an offer or recommendation.

Details may originate from sellers or third parties. While reviewed on a reasonable basis, information is not independently verified or certified.

Buyers/investors must conduct their own due diligence and obtain independent legal, valuation, tax, and technical advice.

Esteema acts solely as an advisor and intermediary and gives no assurance of transaction completion, pricing, or counterparty performance.

3. General Notice

Nothing on this website creates:

A fiduciary relationship
A contractual or agency obligation
An offer or commitment

All services are provided on a best-efforts basis. Users must rely on independent professional advice. To the fullest extent permitted by law, Esteema accepts no liability arising from reliance on website information.

4. Privacy Policy

We process personal data in accordance with the UK GDPR and the Data Protection Act 2018.

We may collect contact details, professional information, and limited technical data for legitimate business, regulatory, and service purposes. Personal data is not sold and is shared only with authorised service providers, advisers, or regulators where required.

Appropriate security measures are applied. Users may request access, correction, or deletion of their data at any time.