Conexim Regulation
Conexim Advisors Ltd. is regulated by the Central Bank of Ireland Regulation 8 (3) and deemed authorised under Regulation 5 (2) of the Statutory Instrument No. 375/2017 European Union (Markets in Financial Instruments) Regulations 2017, and as an insurance, reinsurance or ancillary insurance intermediary under the European Union (Insurance Distribution) Regulations, 2018.
The Financial Service Provider Profile for Conexim with the Central Bank is provided here: Central Bank Register.
The firm is authorised to provide the following services and with the following instruments.
Investment Services (MiFID)
1.1. Receiving/transmitting orders
1.4. Portfolio management
1.5. Investment advice
Ancillary Services (MiFID)
2.4. F/X re Investment Services
2.5. Research
Investment Business Services (IIA)
(f) Deposit Agent/Broker
Financial Instruments (MiFID)
1. Transferable securities
2. Money market instruments
4. Units in collective investment undertakings
5. Financial CFDs
6. Derivs re: secs/ccys/IRYs/EAs phys/cash settled
7. Derivatives re: commodities – settled in cash
8. Derivs re: comms – TOTV, phys settled (ex WEPs)
9. Derivs re: CVs, FRs, IRs, ESs
Investment Instruments (IIA)
(kk) Tracker Bonds
(m) Insurance Policies
(n) PRSAs
Privacy Notice
This privacy notice explains when and why Conexim collects personal information, how it is used, the condition under which it may be disclosed to others and how it is kept secure. This privacy policy was last updated on the 25th May 2018, and may be updated periodically.
Conexim approach to Data Privacy
In order to provide clients, intermediaries, Trustees and other market participants with our Services, Conexim is required to control personal data for clients, intermediaries and other parties with whom we provide services to, or receive services from.
Conexim is committed to protecting and respecting your privacy. Conexim has adopted the principle of Privacy by Design and has reviewed and appropriately modified our business processes to comply with this element of the GDPR.
Our full privacy notice is attached here: CX Privacy Notice – 1st June 2023
Top 5 Trading Venues
MiFID II Regulatory Technical Standard number 28 (‘RTS 28’) requires that investment firms must publish on an annual basis, information on the top five execution venues used to execute client orders in MiFID II financial instruments.
Types of venues included are: trading venues, systematic internalisers, market makers and other liquidity providers. The information shows in percentages how trade consideration, and order count was split between those ‘top five’ venues. It also shows in percentages how many orders were ‘passive’ (entered into a ‘order book’ that provided liquidity) and how many orders were ‘aggressive’ (entered into an ‘order book’ that took liquidity).
Under the Model B arrangement Conexim have with Pershing Securities International Limited, Conexim transmits orders for execution to Pershing for execution for our retail clients where Pershing also provide those clients with custody services, as Conexim does not execute the orders for you directly.
Therefore, the up to date data required under RTS 28 may be found on Pershing’s website, at http://www.pershing.com/uk/en/about/topics/mifid-ii-rts-28-report
If you should have any questions around this, please contact Conexim and request further details on this from the Compliance Officer.
Regulatory Disclosures
- Pillar 3 Disclosure (for the year ended 31 December 2022)