Blackthorn Wealth Advisory

Compliance and Regulation

Here at Blackthorn Wealth Advisory we are a research and analytical firm. We are dedicated to providing our clients with the latest information to make the right decisions at the right time. We are a paperless office and all our information is given by telephone and email which gives us the ability to update our clients as soon as the information comes through, enabling us to get our clients in and out at the right times of their investments instead of sending out paperwork and delaying our clients decisions, which could potentially lose them money. We take fees very seriously as high fees can be very costly over time. At Blackthorn Wealth Advisory were dedicated to finding brokers or banks within our clients Country of origin with the lowest fees for execution only trades.

IMPORTANT NOTICE:

Blackthorn Wealth Advisory is purely a analytical research firm only and does not take any part in receiving funds for trades. ALL action taken on any of our recommendations we will find you regulated brokers or banks within your country of the highest standard with the best fees. This enables us to lower our clients transaction fees and also guarantee safety on any financial transaction placed between YOU ( The customer) and the BROKER ( Banks or Stockbrokers). Blackthorn wealth advisory will only ask for a commission once a profit has been made from our advice on BUY to SELL. The percentage commission varies depending on type of client and size of portfolio.

COMPLIANCE

The role of a compliance officer, sometimes called a compliance manager, is to make sure that a company is conducting its business in full compliance with all national and international laws and regulations for the financial industry, as well as professional standards, accepted business practices, and internal standards.

There is both an ethical component and a pragmatic component to compliance - a role that is crucial in helping organizations manage risk and maintain a positive reputation.

Compliance officers must have an innate and intuitive knowledge of the company’s goals and culture, as well as of the greater industry and standard business law. They are charged not just with keeping a company’s business dealings ethically sound and legally pristine, but with educating the entire company and instituting practices that will ensure the highest possible level of compliance.

Any trade placed with Blackthorn Wealth Advisory will be done by using the Telephone Trading System (TTS), a Compliance officer will call the customer on a recorded line confirming Name, Address, Identification and size of the trade to make sure the customer is in full understanding of the trade and also will inform the customer there is no cooling off or cancelation period using the TTS. The TTS is a great way of enabling our wealth advisory team of getting our clients an exact price of a investment and avoiding our customers missing out on any significant price changes.

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