Australia
Apex Fund Services Pty Ltd (previously Mainstream)
Apex Group Ltd. and wholly owned entities of Apex in Australia (hereafter “Apex”) are committed to delivering the highest standard of service to our clients and ensuring that all complaints are resolved satisfactorily and in a timely manner. We will work with you to resolve any concerns raised and treat you with respect throughout the resolution process.
The objective of this policy is to assist the company, its executive team, and employees in resolving complaints in an efficient, effective, and professional manner.
This Complaints policy is written to comply with and in accordance with the regulatory obligations as an AFS Licensee. We ensure that our dispute resolution system meets the requirements of the Corporations Act 2001, ASIC Regulatory Guide 165, and ASIC Regulatory Guide 271.
We have developed this policy, having regard to relevant legal requirements and current best practices, including the guidance provided in Australian/New Zealand Standard AS/NZS10002:2014 Guidelines for complaint management in organisations. The legislation provides a framework to the processing of complaints made by a person or organisation ‘the Complainant’ in a timely and appropriate manner and sets the minimum criteria for Apex’s investigation into a complaint to be conducted in a prudent manner.
For complaints in respect of, or requests for refunds by, the Registered Training Organisation (RTO) services provided by Apex Compliance Solutions (Australia) Pty Ltd please refer to the Addendum.
Mainstream Superannuation Services Pty Ltd
Mainstream Superannuation Services provides member administration, unit pricing and accounting services to industry funds, corporate superannuation funds and retail superannuation master trusts.
Apex Australia (Apex Fund Services (Australia) Pty Ltd)
Apex Group Ltd. and wholly owned entities of Apex in Australia (hereafter “Apex”) are committed to delivering the highest standard of service to our clients and ensuring that all complaints are resolved satisfactorily and in a timely manner. We will work with you to resolve any concerns raised and treat you with respect throughout the resolution process.
The objective of this policy is to assist the company, its executive team, and employees in resolving complaints in an efficient, effective, and professional manner.
This Complaints policy is written to comply with and in accordance with the regulatory obligations as an AFS Licensee. We ensure that our dispute resolution system meets the requirements of the Corporations Act 2001, ASIC Regulatory Guide 165, and ASIC Regulatory Guide 271.
We have developed this policy, having regard to relevant legal requirements and current best practices, including the guidance provided in Australian/New Zealand Standard AS/NZS10002:2014 Guidelines for complaint management in organisations. The legislation provides a framework to the processing of complaints made by a person or organisation ‘the Complainant’ in a timely and appropriate manner and sets the minimum criteria for Apex’s investigation into a complaint to be conducted in a prudent manner.
For complaints in respect of, or requests for refunds by, the Registered Training Organisation (RTO) services provided by Apex Compliance Solutions (Australia) Pty Ltd please refer to the Addendum.
Apex Australia (Apex Fund Services (Sydney) Pty Ltd)
Apex Group Ltd. and wholly owned entities of Apex in Australia (hereafter “Apex”) are committed to delivering the highest standard of service to our clients and ensuring that all complaints are resolved satisfactorily and in a timely manner. We will work with you to resolve any concerns raised and treat you with respect throughout the resolution process.
The objective of this policy is to assist the company, its executive team, and employees in resolving complaints in an efficient, effective, and professional manner.
This Complaints policy is written to comply with and in accordance with the regulatory obligations as an AFS Licensee. We ensure that our dispute resolution system meets the requirements of the Corporations Act 2001, ASIC Regulatory Guide 165, and ASIC Regulatory Guide 271.
We have developed this policy, having regard to relevant legal requirements and current best practices, including the guidance provided in Australian/New Zealand Standard AS/NZS10002:2014 Guidelines for complaint management in organisations. The legislation provides a framework to the processing of complaints made by a person or organisation ‘the Complainant’ in a timely and appropriate manner and sets the minimum criteria for Apex’s investigation into a complaint to be conducted in a prudent manner.
For complaints in respect of, or requests for refunds by, the Registered Training Organisation (RTO) services provided by Apex Compliance Solutions (Australia) Pty Ltd please refer to the Addendum.
Independent Professional Services Pty Ltd (IPS)
Apex Group Ltd. and wholly owned entities of Apex in Australia (hereafter “Apex”) are committed to delivering the highest standard of service to our clients and ensuring that all complaints are resolved satisfactorily and in a timely manner. We will work with you to resolve any concerns raised and treat you with respect throughout the resolution process.
The objective of this policy is to assist the company, its executive team, and employees in resolving complaints in an efficient, effective, and professional manner.
This Complaints policy is written to comply with and in accordance with the regulatory obligations as an AFS Licensee. We ensure that our dispute resolution system meets the requirements of the Corporations Act 2001, ASIC Regulatory Guide 165, and ASIC Regulatory Guide 271.
We have developed this policy, having regard to relevant legal requirements and current best practices, including the guidance provided in Australian/New Zealand Standard AS/NZS10002:2014 Guidelines for complaint management in organisations. The legislation provides a framework to the processing of complaints made by a person or organisation ‘the Complainant’ in a timely and appropriate manner and sets the minimum criteria for Apex’s investigation into a complaint to be conducted in a prudent manner.
For complaints in respect of, or requests for refunds by, the Registered Training Organisation (RTO) services provided by Apex Compliance Solutions (Australia) Pty Ltd please refer to the Addendum.
Click here for complaints handling policy
Bahrain
Apex Fund Services Bahrain W.L.L., license number F.Adm/002, is licensed as a Fund Administrator by the Central Bank of Bahrain.
Bermuda
Apex Fund Services Ltd. is regulated and licensed by the Bermuda Monetary Authority (“BMA”) for fund administration services with a full Fund Administrator license (License No. 33832). Apex Corporate Services Ltd. is regulated and licensed by the Bermuda Monetary Authority (“BMA”) for corporate services with a Limited Corporate Services Provider license (License No. 43607). Apex Insurance Fund Services Limited is regulated and licensed by the Bermuda Monetary Authority (“BMA”) for fund administration services with a full Fund Administrator license (License No. 39614).
Emerging Asset Management Ltd. is registered with the Bermuda Monetary Authority as a Class B Person under the Investment Business Act 2023 and is permitted to carry on investment business in or from Bermuda.
Click here for complaints handling policy
Brazil
Apex Asset Management is regulated as an Investment Manager and Fiduciary Administrator in Brazil by the Comissão de Valores Mobiliários (CVM). MAF Distribuidora de Títulos e Valore Mobiliários S.A. is regulated as an Investment Manager, Fiduciary Administrator, Custodian, Bookkeeping and Securities Distributor by the CVM, with oversight from the Brasil Central Bank (BCB).
BRL Trust Investimentos Ltda. is regulated as an Investment Manager and Fiduciary Administrator in Brazil by the CVM. BRL Trust DTVM S.A. is regulated as an Investment Manager, Fiduciary Administrator, Custodian, Bookkeeping and Securities Distributor by the CVM, with oversight from the BCB.
The license held by the aforementioned entities is a Receita Federal do Brasil (RFB). The Registered Office of the four companies is Rua Alves Guimarães, 1212 São Paulo – SP, Brasil.
Cayman Islands
Apex Fund Services (Cayman) Ltd. is regulated and licensed by the Cayman Islands Monetary Authority for fund administration services with a full Mutual Fund Administrator license (License No. 668942) and corporate and custody services with its Trust license (License No. 1465726). Apex Insurance Services (Cayman) Ltd. is regulated and licensed by the Cayman Islands Monetary Authority as an Insurance Manager (License No. 2092635).
Click here for complaints handling policy
China
Apex Investment Consulting (Shanghai) Co., Ltd is not a regulated enity but a registered entity in Mainland China.
Apex Group Financial Management Consulting (Shanghai) Co., Ltd is not a regulated enity but a registered entity in Mainland China.
Guernsey
Apex Fund and Corporate Services (Guernsey) Limited is regulated and licensed by the Guernsey Financial Services Commission under the Protection of Investors (Bailiwick of Guernsey) Law, 2020 as amended and the Regulation of Fiduciaries, Administration Businesses and Company Directors, etc (Bailiwick of Guernsey) Law, 2020 as amended. Registered in the Bailiwick of Guernsey with No.33475 at 1 Royal Plaza, Royal Avenue, St Peter Port, Guernsey GY1 2HL.
Sanne Group (Guernsey) Limited is regulated and licensed by the Guernsey Financial Services Commission ("GFSC") under the Protection of Investors (Bailiwick of Guernsey) Law, 2020 as amended and the Regulation of Fiduciaries, Administration Businesses and Company Directors, etc (Bailiwick of Guernsey) Law, 2020 as amended. Registered in the Bailiwick of Guernsey with Registration No.56167 at 1 Royal Plaza, Royal Avenue, St Peter Port, Guernsey GY1 2HL. The GFSC Licence number is 2102145.
FundRock Management Company (Guernsey) Limited is regulated and licensed by the Guernsey Financial Services Commission ("GFSC") under the Protection of Investors (Bailiwick of Guernsey) Law, 2020 as amended. Registered in the Bailiwick of Guernsey with Registration No.17484 at 1 Royal Plaza, Royal Avenue, St Peter Port, Guernsey GY1 2HL. The GFSC Licence number is 1019127.
Apex Administration (Guernsey) Limited is regulated and licensed by the Guernsey Financial Services Commission ("GFSC") under the Protection of Investors (Bailiwick of Guernsey) Law, 2020 as amended and the Regulation of Fiduciaries, Administration Businesses and Company Directors, etc (Bailiwick of Guernsey) Law, 2020 as amended. Registered in the Bailiwick of Guernsey with Registration No.51371 at 1 Royal Plaza, Royal Avenue, St Peter Port, Guernsey GY1 2HL. The GFSC Licence number is 2011047.
Apex Fiduciaries (Guernsey) Limited is regulated and licensed by the Guernsey Financial Services Commission ("GFSC") under the Regulation of Fiduciaries, Administration Businesses and Company Directors, etc (Bailiwick of Guernsey) Law, 2020 as amended and is licensed and permitted to carry on by way of business regulated activities under s.2(1)(e) of the Law in respect of Pension Scheme Business and Gratuity Scheme Business. Registered in the Bailiwick of Guernsey with Registration No.59697 at 1 Royal Plaza, Royal Avenue, St Peter Port, Guernsey GY1 2HL. The GFSC Licence number is 2265283.
Apex Fund Administration (Guernsey) Limited is regulated and licensed by the Guernsey Financial Services Commission ("GFSC") under the Protection of Investors (Bailiwick of Guernsey) Law, 2020 as amended. Registered in the Bailiwick of Guernsey with Registration No.46441 at 1 Royal Plaza, Royal Avenue, St Peter Port, Guernsey GY1 2HL. The GFSC Licence number is 1040212,
Sanne Fund Services (Guernsey) Limited is regulated and licensed by the Guernsey Financial Services Commission ("GFSC") under the Protection of Investors (Bailiwick of Guernsey) Law, 2020 as amended and as a Secondary Licensee under the Regulation of Fiduciaries, Administration Businesses and Company Directors, etc (Bailiwick of Guernsey) Law, 2020 as amended. Registered in the Bailiwick of Guernsey with Registration No. 43046 at 1 Royal Plaza, Royal Avenue, St Peter Port, Guernsey GY1 2HL. The GFSC Licence number is 1025942.
Hong Kong
Apex Fund Services (HK) Limited
Apex Corporate Solutions (HK) Limited
Apex Services (APAC) Limited
Apex Fund Services (HK) Limited (License no. TC007025), Apex Corporate Solutions (HK) Limited (License no. TC007366), and Apex Services (APAC) Limited (License no. TC003489) are regulated and licensed by the Hong Kong Trust and Company Service Provider (TCSP) for Corporate services in accordance with the requirements of the Cap. 615 Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO).
Our three companies operate under the strict supervision and oversight of the TCSP to ensure compliance with all relevant regulations and standards. We are committed to upholding the highest levels of integrity, transparency, and professionalism in our corporate services.
The registered office of Apex Fund Services (HK) Limited, Apex Corporate Solutions (HK) Limited, and Apex Services (APAC) Limited is located at 2/F, 17/F, ROOM 1801-2 18/F & ROOM 1902 19/F, BEAUTIFUL GROUP TOWER, 77 CONNAUGHT ROAD CENTRAL, Hong Kong."
Apex Fund Solutions (HK) Ltd
Fund Solutions is not a regulated activity in HK
Hungary
Corporate services and private client solutions are provided by Apex Hungary Corporate Services LLC, which is regulated by the National Tax and Customs Administration (NTCA) Financial Intelligence Unit in accordance with anti-money laundering regulatory requirements. Registered office: Dohány utca 12, 2nd Floor, H-1074 Budapest, Hungary.
India
Throgmorton Services India LLP (GIFT branch) is regulated under IFSCA which has established its place of business in GIFT City to provide administration services, book-keeping, accounting services other services auxiliary to financial services to its Special Economic Zone (SEZ) and non-SEZ clients.
Ireland (Dublin)
Corporate services and private client solutions are provided by Apex TSI Limited and Apex IFS Limited which are registered with the Department of Justice and Equality as Trust or Company Services Providers under the Criminal Justice (Money Laundering and Terrorist Financing) Act 2010, as amended. Registered in Ireland No. 163472 and No. 129223 respectively. Registered offices: 2 Grand Canal Square, Grand Canal Harbour, Dublin 2. Management company authorized under chapter 15 of Law of 17 December 2010 and authorized as an alternative investment fund manager under Article 5 of the law of 12 July 2013 on alternative investment fund managers, as amended”.
Isle of Man
Apex Fund Services (IOM) Ltd. is regulated by the Isle of Man Financial Supervision Authority and Apex Corporate Services (IOM) Limited is regulated by the Isle of Man Financial Supervision Authority.
Japan
Apex Group Trust (Japan) Company Limited
Wholly owned entity of Apex Group Ltd which operates Japan Trust business and related concurrent business
Apex Group Japan K.K.
Wholly owned entity of Apex Group Ltd which operates Fund Administration services
Apex Business Solutions K.K (new)
Wholly owned entity of Apex Group Ltd which operates consulting services
Apex Tax Corporation (new)
Apex Group Company under Collaboration agreement with Apex Business Solutions K.K. of wholly owned subsidiary of Apex Group which operates tax services
Jersey
Corporate Services and Private Clients services are provided by Apex Financial Services (Jersey) Limited (registered in Jersey No. 92185) and some of its direct and indirect subsidiaries and affiliates, Apex Financial Services (Alternative Funds) Limited (registered in Jersey No. 86301), Apex Fund and Corporate Services (Jersey) Limited (registered in Jersey No. 99112), Apex Group Fund Administration Limited (registered in Jersey No. 112422) and some of its direct and indirect subsidiaries and affiliates, Apex Group Trustee Services Limited (registered in Jersey No. 112368) and some of its direct and indirect subsidiaries and affiliates, Apex Group Fiduciary Services Limited (registered in Jersey No. 41570) and some of its direct and indirect subsidiaries and affiliates, Apex Group Fund Services (Jersey) Limited (registered in Jersey No. 125726) and some of its direct and indirect subsidiaries and affiliates, and MJ Hudson Fiduciaries Jersey Limited (registered in Jersey No. 92038) and some of its direct and indirect subsidiaries and affiliates which are licensed and regulated by the Jersey Financial Services Commission for the conduct of Trust Company Business and/or Fund Services Business or as permit holders pursuant to Collective Investment Funds (Jersey) Law 1988. Registered office: IFC 5, St. Helier, JE1 1ST, Jersey.
Luxembourg
Corporate services are provided by Apex Fund Services S.A., which is supervised by the Commission de Surveillance du Secteur Financier (“CSSF”) as a Specialised Professional of the Financial Sector (“Specialised PFS”) to exercise the activities of (i) Corporate domiciliation agent (ii) Company incorporation and management services (iii) Client communication agent (iv) Administrative agent of the financial sector (v) registrar agent and (vi) family office. Registered office: 3 rue Gabriel Lippmann L-5365 Munsbach. RCS B241514.
Click here for the complaints handling procedure
Malta
"The Company is recognised by the Malta Financial Services Authority (“MFSA”) pursuant to Section 9A of the Investment Services Act, 1994, (“ISA”), to provide fund administration services, which include the following services for Funds:
- Preparation of Net Asset Value
- Reconciliation
- Pricing the Investment Portfolio
- Payment of Bills
- Preparation of Financial Statements
- Fund Accounting
- Performance Reporting
- Compliance Reporting
- Preparation of Contract Notes
The Company provides fund administration services to clients which are domiciled both in and outside of Malta. "
"The Company is authorised to act as a Class C CSP by the Malta Financial Services Authority (“MFSA”) pursuant to Article 5 of the Company Service Providers Act, to provide corporate services, which include the following:
- Formation of companies and other legal entities;
- Provision of a registered office, a business correspondence or administrative address and other related services for a company, a partnership or any other legal entity;
- Offering service to third parties of acting as director of secretary of a company, a partner in a partnership or in a similar position in relation to other legal entities;
- Arranging for another person to act as director or secretary of a company, a partner in a partnership or in a similar position in relation to other legal entities.
The Company provides corporate services to clients which are domiciled both in and outside of Malta. "
"EDB Malta Branch provides Custody services to funds licensed in Malta as well as funds which are licensed in reputable third country jurisdictions via its Global Sub-Custodian Citibank NA London Branch and any other sub-custodians it may appoint from time to timeSafe-keeping function
EDB Malta also offer Full Depositary duties and Depo Lite servcies which include:
- Cash Flow Monitoring & Reconciliation Procedure:
- Asset Verification of Custodiable Assets:
- Asset Verification of Other Assets:
- Oversight - Investment and Borrowing restrictions monitoring:
- Oversight – Income Distribution:
- Oversight - NAV Review:
- Oversight – Reporting: "
Mauritius
Apex Financial Services Mauritius Limited (“AFSML”):
Apex Financial Services (Mauritius) Ltd is a Trusts and Corporate Service Provider which is regulated by the FSC (“Financial Services Commission”). It holds a management licence issued by the FSC and (i) FS-3.2 Nominee company licence and (ii) FS-3.1B Management Licence (Qualified/Corporate Trustee only). AFSML (formerly SANNE Mauritius) is a Management Company incorporated in Mauritius in Dec 1993 and licensed by the FSC to provide asset and corporate administration services to entities mainly operating in the global business sector. In addition to above, AFSML is also a member firm of the Institute of Chartered Accountants in England and Wales (“ICAEW”) as well as a Platinum Member of the Association of Chartered Certified Accountants (UK) (“ACCA”) as Approved Employer and trainer. As such, AFSML is required to abide by other local regulations and guidelines in its capacity as an Approved Employer and Trainer as well as a member firm of the Mauritius Institute of Professional Accountants (“MIPA”). AFSML is registered as a Data Controller with local Data Protection Office. AFSML meet the definition of Financial Institution and need to abide with the FIAMLA 2002, FIAML Regulations 2018, FSC Handbook 2020, Sanctions Act 2019 and other regulations.
Apex Fund Services Mauritius Limited (“AFS”):
`AFS is a Management Company incorporated in Mauritius in June 2006 and licensed by the Financial Services Commission ("FSC") to provide asset and corporate administration services to entities mainly operating in the global business sector. AFS commenced its operations in September 2006. Its core business is provision of fund administration services, corporate secretarial, directorship, tax, investor services, company incorporation, and other related services to investment funds, hedge funds, private equity funds and other global business companies. It Holds a management licence issued by the FSC and can act as Qualified/Corporate Trustee only. In addition to above, AFS Ltd is also a member firm of the Institute of Chartered Accountants in England and Wales (“ICAEW”) as well as a Member of the Association of Chartered Certified Accountants (UK) (“ACCA”) as Approved Employer. As such, AFS is required to abide by other local regulations and guidelines in its capacity as an Approved Employer and Trainer as well as a member firm of the Mauritius Institute of Professional Accountants (“MIPA”). AFS is registered as Data Controller with local Data Protection Office. AFS meet the definition of Financial Institution and need to abide with the FIAMLA 2002, FIAML Regulations 2018, FSC Handbook 2020, Sanctions Act 2019 and other regulations.
Apex Fund and Corporate Services Limited (“AFCS”):
AFCS is a Management Company incorporated in Mauritius in September 2010 and licensed by the Financial Services Commission ("FSC") to provide asset and corporate administration services to entities mainly operating in the global business sector. Its core business is provision of fund administration services, corporate secretarial, directorship, tax, investor services, company incorporation, and other related services to investment funds, hedge funds, private equity funds and other global business companies. It holds a management licence issued by the FSC and can act as Qualified/Corporate Trustee only. AFS is registered as Data Controller with local Data Protection Office. AFCS meet the definition of Financial Institution and need to abide with the FIAMLA 2002, FIAML Regulations 2018, FSC Handbook 2020, Sanctions Act 2019 and other regulations.
Netherlands
Corporate services and private client services are provided by Apex Financial Services B.V., a private limited liability company (besloten vennootschap met beperkte aansprakelijkheid), incorporated and existing under the laws of The Netherlands, having its statutory seat in Amsterdam and its registered address at Van Heuven Goedhartlaan 935A, 1181 LD Amstelveen, The Netherlands, registered with the Dutch Chamber of Commerce under number 28065255. Apex Financial Services B.V. falls under the supervision of the Dutch Central Bank (De Nederlandsche Bank) and has a licence to operate as a Trust Office under the Act on the Supervision of Trust Offices, registered with the Dutch Central Bank
Sanne Group (Netherlands) B.V. (SGNL) provides ASTO services (management and domiciliation "plus" services). SGNL also provides AML services such as administration services (accounting), corporate secretarial services, loan agency services etc. SGNL statutory seat is in Amsterdam and its registered address is at Van Heuven Goedhartlaan 935A, 1181 LD Amstelveen, The Netherlands, registered with the Dutch Chamber of Commerce under number 24196052. SGNL falls under the supervision of the Dutch Central Bank (De Nederlandsche Bank) and has a licence to operate as a Trust Office under the Act on the Supervision of Trust Offices, registered with the Dutch Central Bank.
Click here for the complaints handling procedure
New Zealand
"FundRock NZ Limited (""FundRock NZ"") is licensed as a “manager of a registered scheme” under New Zealand’s Financial Market Conduct Act 2013 (FMC Act).
This enables us, through our Fund Hosting business, to issue and manage funds in NZ for:
- Offshore investment managers who want to offer PIE-compliant funds to NZ investors, but don’t want to go through the licensing process themselves; and
- Domestic investment managers who want to outsource the issuing and managing of their funds, so they can concentrate on investment management and distribution activities; and
- Adviser and family office groups who want to create bespoke investment fund solutions as part of their investment proposition or to create economies of scale; and
- Wholesale investors like superannuation schemes and tax exempt groups who want to create economies of scale and better portfolio outcomes by using funds to aggregate their investments with other like-minded investors"
InvestNow is a New Zealand-based investment platform that provides online access to KiwiSaver, Managed Funds and Term Deposits from leading fund managers and banks from around the world.
"Apex NZ has provided outsourced investment administration services to New Zealand based investment managers and investment product providers. The outsourced investment administration services include Scheme Administration / Registry and Fund Accounting.
Scheme Administration / Registry
This service maintains the ‘Register of Unitholders / Members’ for funds and maintains tax records of the unit holders / members. In delivering this service, Apex NZ is responsible for, among other things, onboarding new unitholders / members, processing transactions undertaken by unitholders / members and facilitating fund (i.e. money) transfers between the unitholders / members and Managers.
Fund Accounting
This service involves asset valuation, unit pricing and accounting for funds. There are no financial transactions undertaken by Apex NZ as part of the delivery this service."
"ICSL offers custodial services to New Zealand based Financial Advisers and their investors utilising the Wealth Administration services of Apex NZ. Custodial service involves safekeeping, trade instructions, trade matching and corporate actions/ proxy.
Safekeeping
Custody assets are held in the name of Queen Street Nominees. A ‘Custody Asset Register’ is maintained by the Settlements & Custody Team in relation to those assets held in custody. This involves ensuring that all securities are delivered, payments made, income collected, fees paid, taxes paid / reclaimed and corporate actions and proxies acted upon per the instruction of the Manager.
Trade instructions
Trades relating to New Zealand securities are processed through NZClear wherever possible. NZClear is a settlement system owned by the Reserve Bank of New Zealand. Trades relating to Australian and global securities are instructed to the appointed sub-custodian, National Australia Bank (NAB) Asset Servicing (Sub-Custodian), utilising automated processing (normally via OMGEO).
Settlement instructions are uploaded from Apex NZ’s system to the banking system and first approved by a Settlements & Custody Officer. Release then requires approval of another member of the Settlements & Custody Team.
Trade matching
Trade matching services involve the matching of trades in OMGEO or with counterparties directly. As part of this service, Apex NZ liaises with Managers and the Sub-Custodian to ensure the timely resolution of issues associated with trades.
Corporate actions / proxy
Apex NZ manages corporate actions and proxy voting instructions.
Saudi Arabia
Apex Fundrock Investment Closed Joint Stock Company service investment license by Ministry of Investment Reference No : 102114507257955
Apex Fundrock Investment Joint Stock Company Under Incorporation license by CMA Capital Market Authority Reference No : 32-24279
Singapore
Apex Fund Services (Singapore) Pte. Ltd.
Its registered with ACRA to provide Fund Administration Services.
Apex Fund Services Pte. Ltd.
Its registered with ACRA to provide Fund Administration Services.
South Africa
The following companies are licensed as Financial Services Providers in terms of the Financial Advisory and Intermediary Services Act (No. 37 of 2002), as amended, and supervised by the Financial Sector Conduct Authority.
- Apex Fund Services South Africa Limited – Registered office: River Park, Gloucester Road, Mowbray, 7700
- Apex Fund and Corporate Services SA (Pty) Ltd – Registered office: 11th Floor, Pier Place, Heerengracht, Cape Town, 8001
- Apex Investment Consulting SA (Pty) Ltd. – Registered office: Catnia Building, Bella Rosa Street, Bella Rosa Village, Bellville, 7530
- SkyBlue Fund Managers (Pty) Ltd – Registered office: Catnia Building, Bella Rosa Street, Bella Rosa Village, Bellville, 7530
- Instit (Pty) Ltd – Registered office: Catnia Building, Bella Rosa Street, Bella Rosa Village, Bellville, 7530
The following companies are registered and approved by the Financial Sector Conduct Authority under the Collective Investment Schemes Control Act (No. 45 of 2002), as amended.
- FundRock Management Company (RF) (Pty) Ltd – Registered office: 11th Floor, Pier Place, Heerengracht, Cape Town, 8001
- Boutique Collective Investments (RF) (Pty) Ltd – Registered office: Catnia Building, Bella Rosa Street, Bella Rosa Village, Bellville, 7530
PAIA Manual: Apex Fund Services South Africa Limited
PAIA Manual: FundRock Management Company (RF) (Pty) Ltd
Apex SA Client Complaints Management Procedure
PAIA Manual: Apex Fund Services HoldCo SA (Pty) Ltd
PAIA Manual: Boutique Collective Investments (RF) (Pty) Ltd.
PAIA Manual: SkyBlue Fund Managers (Pty) Ltd
PAIA Manual: Apex Fund and Corporate Services SA (Pty) Ltd.
PAIA Manual: Apex Investment Consulting SA (Pty) Ltd.
Apex SA Conflict of Interest Handbook
UK
Corporate services and private client are provided by Apex Corporate Trustees (UK) Limited (Registered in England and Wales No. 239726), which is registered with HM Revenue and Customs for the purposes of the Money Laundering Terrorist Financing and Transfer of Funds Regulations 2017, Apex Pension Trustees Limited (Registered in England and Wales No. 03030424) and Apex ATL Pension Trustees Limited (Registered in England and Wales No. 02317256). Registered office of these three companies is 140 London Wall, London EC2Y 5DN, UK.
Outsourced accounting, payroll, tax, HR and company secretarial services are provided by Apex Corporate and Business Services UK Limited, (registered in England and Wales, No 3853848). Registered office: 140 London Wall, London EC2Y 5DN. Apex Corporate and Business Services UK Limited is registered with HM Revenue and Customs for the purposes of the Money Laundering, Terrorist Financing and Transfer of Funds Regulations 2017.
ADU MIFIDPRU 8 Disclosure 2024
United Arab Emirates
Abu Dhabi
Apex Corporate Services (ME) Ltd - ACS (ME) Ltd
Apex Corporate Services (ME) Ltd is registered with Abu Dhabi Global Market (ADGM) as a DNFBP
Apex Fund Services (AD) Limited
Apex Fund Services (AD) Ltd is authorised and regulated by the Financial Services Regulatory Authority (FSRA)
Apex Fund Services Ltd - Abu Dhabi
Apex Fund Services Ltd - Abu Dhabi is regulated by the Securities and Commodities Authority UAE
Fundrock Investment Management (ME) Ltd
Fundrock Investment Management (ME) Ltd is authorised and regulated by the Financial Services Regulatory Authority (FSRA).
Dubai
Apex Compliance Solutions Ltd
Apex Compliance Solutions Ltd is registered with the Dubai Financial Services Authority (DFSA) as a DNFBP
Apex Fund Services (Dubai) Ltd
Apex Fund Services (Dubai) Ltd is authorised and regulated by the Dubai Financial Services Authority (DFSA)
USA
Atlantic Shareholder Services, LLC, a wholly owned subsidiary of Atlantic Fund Administration, LLC d/b/a Apex Fund Services, part of the Apex Group Ltd, is registered as a Transfer Agent with the U.S. Securities and Exchange Commission.
Emerging Asset Management Ltd. (NFA ID 0473416 and EAM (USA) Ltd. (NFA ID 0478271) are registered with the United States of America Commodity Futures Trading Commission as a Commodity Pool Operator and Swap Firm and are a member of the National Futures Association.
