Regulatory, Compliance & Governance

ESTEEMA CAPITAL PARTNER

Regulatory- Compliance - Governance

Regulated | Compliant | Governed

Esteema Governance & Compliance Framework

Esteema Capital Partners operates within a robust governance and compliance framework aligned with UK regulatory standards, institutional best practice, and the expectations of regulated lenders, institutional investors, and professional counterparties. Governance is embedded across all aspects of our advisory and execution activities and underpins risk management, client protection, confidentiality, and execution integrity.

Esteema Regulatory Authorisation & Status

Esteema Capital Partners is the trading name of Esteema Financial Solutions Ltd.

Authorised and Regulated by the Financial Conduct Authority (FCA), United Kingdom
FCA Firm Reference Number (FRN): 471068
Regulatory status verifiable on the FCA Register at www.fca.org.uk/register

Our activities are structured to operate within applicable regulatory permissions, with clear delineation between regulated advisory activities, unregulated services, and introducer or execution roles, as appropriate to each engagement.

KYC, AML & Counterparty Due Diligence

Know-Your-Client (KYC) verification
Anti-Money Laundering (AML) checks
Source of funds verification
Source of wealth assessment
Sanctions, PEP, and adverse-media screening

These procedures are applied prior to engagement and on an ongoing basis, in accordance with UK regulatory expectations and internal governance policies.

Confidentiality, Data Protection & Information Security

Registered with the Information Commissioner’s Office (ICO)
ICO Registration Number: Z9947065
Use of NDAs and controlled data-sharing arrangements
Secure information storage and access controls

Client and counterparty information is handled in accordance with UK data-protection legislation and is never disclosed without appropriate authority or contractual protection.

Conflict of Interest Management

Clear policies are maintained to identify, disclose, and manage conflicts of interest. Where a potential conflict arises, it is assessed internally, disclosed where required, and managed in a transparent and proportionate manner.

Risk Governance & Transaction Oversight

Credit and counterparty risk
Structural and security risk
Market and valuation risk
Legal, regulatory, and jurisdictional risk
Execution, timing, and completion risk

Only transactions meeting internal governance thresholds and risk parameters are progressed.

Corporate & Statutory Registration

Registered in England and Wales – Company Registration Number: 05911084
Registered with HM Revenue & Customs (HMRC), United Kingdom
VAT Registration Number: 992 3687 67

Esteema Regulatory Disclaimer

The information contained on this website and in any related documentation is provided for general information purposes only and does not constitute investment advice, financial advice, legal advice, tax advice, or a recommendation, offer, or solicitation to buy or sell any financial instrument or asset.

Any advisory or capital-related services are subject to applicable regulatory permissions, client classification and suitability assessment (where relevant), completion of KYC and AML procedures, and formal contractual engagement terms.

Interest Rates & Financial Terms

Any interest rates, pricing, yields, margins, or financial terms referenced are indicative only and provided for illustrative purposes. Such figures are subject to change without notice and may vary depending on market conditions, lender criteria, capital availability, and the individual risk profile, credit assessment, asset quality, structure, and jurisdiction of each transaction.

No interest rate or pricing indication should be relied upon as a commitment, quotation, or offer. Final terms are determined only following full due diligence, credit approval, and formal documentation by the relevant capital provider.

Performance, Forward-Looking Statements & Reliance

Past performance, valuations, financial projections, and forward-looking statements are not reliable indicators of future results. All transactions remain subject to due diligence, regulatory approvals, third-party consents, and prevailing market conditions.

Nothing on this website should be relied upon as a substitute for independent professional advice. Prospective clients, investors, and counterparties should seek their own legal, financial, tax, and regulatory advice before entering into any transaction.