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Strictly necessary cookies are used for the purpose of authentication and providing data security. These cookies are necessary for the Sites to function properly and enable you to use their services and features. Disabling these cookies will encumber the Sites’ performance, and may make these services and features unavailable.
Functional cookies allow the Sites to efficiently manage your user experience and remember choices you have made in order to provide functionality. For example, functional “session” cookies allow the Sites to remember settings specific to you, such as previous visits to the Sites or whether you have clicked to acknowledge our Cookie Banner. Functional cookies may also include persistent cookies which are used to remember your preferences when you subsequently visit our Sites.
Analytics cookies, including third party cookies, are used to gather statistics about the use of the Sites in order to improve the performance and design of the Sites. For these purposes, analytics cookies collect information about your device type, operating system type, browser type, domain, other system settings, IP-address, referring URLs, information on actions taken on the Sites and the dates and times of your visits, as well as the country and time zone in which your device is located. These cookies are provided by two third-party analytics tool providers, Google Analytics and Wistia, and the information obtained through these cookies will be disclosed to or collected directly by these third-party service providers.
You can learn more about the privacy policies and how to opt out of each of our analytics tool providers by clicking on the following links:
Google Analytics: https://support.google.com/analytics/answer/6004245
For more information on how we collect, use and share your personal information, please read the Capstone Investment Advisors, LLC Website Privacy Notice.
UK Stewardship Code
Capstone Investment Advisors (UK) LLP supports the stewardship code’s objectives but does not claim to comply with the code as its investment strategies do not generally involve taking positions in UK listed stock. Moreover, if we were to take a position in a UK listed stock, our investment strategy would be to trade the volatility of the security and this investment strategy is not consistent with the principles of the code.
Capstone Investment Advisors (UK) LLP is currently considering whether it will adopt an engagement policy pursuant to Article 3g of the amended EU Shareholder Rights Directive (Directive 2007/36/EC). When that decision has been made, this webpage will be updated accordingly.
Statutory Status Disclosure and Complaints
Capstone Investment Advisors (UK) LLP is authorised and regulated by the Financial Conduct Authority. For professional investors only.
We aim to ensure that we treat our customers fairly at all times. Any complaints will be investigated competently, diligently and impartially, assessed fairly and promptly with respect to the subject matter of the complaint, and whether the complaint should be upheld and what remedial action or redress may be appropriate.
The FCA’s Dispute Resolution (“DISP”) handbook sets out the rules relating to the handling of complaints from eligible complainants and MiFID clients. We have determined that we have no eligible complainants under the DISP rules at present.
However, certain consumers could be considered to be eligible complainants under the DISP rules in the future and, as such, we will apply the rules within DISP with respect to those investors.
We define complaints as follows with respect to the two categories of complainants:
Eligible complaint – defined by the FCA as meaning ‘any oral or written expression of dissatisfaction, whether justified or not, from, or on behalf of, a person about the provision of, or failure to provide, a financial service which (a) alleges that the complainant has suffered (or may suffer) financial loss, material distress of material inconvenience; and (b) relates to an activity of that respondent, or any other respondent with whom that respondent has some connection in marketing or providing financial services or products, which comes under the jurisdiction of the Financial Ombudsman Service (“FOS”).
MiFID complaint – defined as ‘any oral or written expression of dissatisfaction, whether justified or not, from, or on behalf of, a person about the provision of, or failure to provide, a financial service or a redress determination which alleges that the complainant has suffered or may suffer financial loss, material distress or material inconvenience’. This does not come under the jurisdiction of FOS.
Upon receipt of a Complaint, as defined above, the Chief Compliance Officer will ensure that eligible complainants are provided a copy of this document, which constitutes our complaints handling policy, when acknowledging a complaint.
We will endeavor to communicate with you clearly and in plain language that is easy to understand and reply to your complaint without undue delay. As soon as we have made the relevant enquiries and reviewed your complaint we will write to you. If we have reasonable grounds to be satisfied that another respondent may be solely or jointly responsible for the matter alleged in your complaint, we may promptly forward the complaint, or the relevant part of it, in writing to that other respondent. We will inform you promptly in a final response of the reason for forwarding the complaint, including the other respondent’s contact details. Where jointly responsible for the fault alleged in the complaint, we will comply with own obligations under the DISP rules in respect of that part of the complaint we have not forwarded.
We will endeavour to write to you within eight weeks.
All complainants should contact the Chief Compliance Officer.
Contact: Katrina Paglia
We are required to provide clear and accessible information about the Financial Ombudsman Service (“FOS”) including its website address.
If your complaint is not resolved by us to your satisfaction, and if your complaint falls within the jurisdiction of the FOS, then you may take your complaint to the FOS.
If a business and a customer can’t resolve a complaint themselves, the FOS can give an unbiased answer about what’s happened. If the FOS decide someone’s been treated unfairly, they have legal powers to put things right. In order to contact the Financial Ombudsman Service or obtain details of the compensation scheme you should:
- write to- The Financial Ombudsman Service, Exchange Tower, London, E14 9SR; or
- telephone 0300 123 9 123 or 0800 023 4567; or
- visit- http://www.financial-ombudsman.org.uk/default.htm
Modern Slavery Statement
California Consumer Privacy Act
Sustainable Finance Disclosure Regulation
Capstone Investment Advisors, LLC (“Capstone”) has made a determination that sustainability risks are not currently relevant to its investment decision making process and has further determined that sustainability risks are currently not likely to have a material impact on the returns of its investment portfolios. Given the focus of the investment portfolios on volatility, relative value strategies and seeking risk-based returns, Capstone generally does not expect sustainability risks and their associated effects on the underlying value of investments to influence the selection and performance of investment portfolio positions. Capstone may consider it appropriate to integrate sustainability risks into its investment decisions in the future and this disclosure will be updated in accordance with the Disclosures Regulation to reflect any such decision.
Having taking into account the size, nature and scale of its activities, and as the primary objective of Capstone is to achieve attractive risk-adjusted returns for investors, Capstone considers it would be disproportionate to consider principal adverse impacts of investment decisions on sustainability factors at this time. Capstone therefore does not currently consider principal adverse impacts of investment decisions on sustainability factors. Capstone acknowledges that the pursuit of the investment portfolios’ objectives may, in some circumstances, have an adverse impact on sustainability factors.