Our regulatory standing

• Authorised and regulated by — Financial Conduct Authority
• FCA Reference Number — 768977
• Authorised since — 3 May 2017 (continuous authorisation)
• Companies House number — 10338132
• Firm classification — BIPRU investment firm; Small Authorised UK AIFM (Sub-Threshold under Article 3(2) AIFMD)
• Client categories permitted — Eligible Counterparty and Professional clients only (Managing Investments is Professional only)
• Client money — May control but cannot hold client money

• Advising on investments (except on Pension Transfers and Pension Opt Outs)
• Arranging (bringing about) deals in investments
• Arranging safeguarding and administration of assets
• Dealing in investments as agent
• Making arrangements with a view to transactions in investments
• Managing an unauthorised AIF (under Small Authorised UK AIFM scope)
• Managing investments (Professional clients only)
• Agreeing to carry on a regulated activity (limited to activities specified in the firm’s Notice)

• Shares; debentures; government and public securities; units; warrants
• Futures (excluding commodity futures and rolling spot forex contracts)
• Options (excluding commodity options and options on commodity futures); commodity futures; commodity options
• Contracts for differences (excluding spread bets, rolling spot forex contracts and binary bets)
• Rolling spot forex contracts; spread bets
• Certificates representing certain securities; rights to or interests in investments

BIPRU firm restriction — BRB Capital Management Limited is unable to carry on the MiFID investment service of placing of financial instruments without a firm commitment basis (Annex 1, Section A7 of MiFID). The firm acts as adviser, arranger and agent on capital raises, never as underwriter.

The authoritative entry for the firm is on the FCA Public Register at register.fca.org.uk. Counterparties performing due diligence are encouraged to rely on the live register entry as the source of truth for permissions, restrictions and approved senior managers.

At BRB Capital, we are dedicated to maintaining the highest standards of compliance, accountability, and operational excellence. Our framework combines strict regulatory oversight with internationally recognized certifications, ensuring that we operate with integrity and transparency at every level.

BRB Financial Advisory Limited is duly registered under the Securities and Exchange Commission (SEC) and maintains a governance and compliance structure consistent with SEC licensing standards. All regulatory fillings, operational requirements, and compliance obligations are met in line with statutory expectations, ensuring the firm’s eligibility to manage regulated investment and trust funds.

BRB Financial Advisory Limited is committed to maintaining an effective Integrated Management System (IMS) in line with ISO 22301 (Business Continuity) and ISO 27001 (Information Security). Measurable objectives shall be defined and documented annually, supported by the necessary controls and resources. These objectives will undergo quarterly management reviews to ensure continued validity, compliance with regulatory requirements, and alignment with business and stakeholder needs.

It is, therefore, BRB Capital’s policy to ensure:

1. BRB Capital’s current strategy and Integrated Management Systems (IMS) provide the framework for identifying, assessing, evaluating, and controlling information, process, and service related risks through the establishment and maintenance of the IMS. The risk assessment and treatment plan define how identified risks are managed in alignment with BRB Capital’s overall risk management strategy.
2. All BRB Capital employees, as well as external parties identified within the Management Systems, are expected to comply with this policy. Mandatory training and awareness programs are provided to ensure all stakeholders understand and uphold their responsibilities.
3. The IMS is subject to continuous review and systematic improvement, ensuring alignment with evolving risks, regulatory standards, and international best practices. BRB Capital’s management is fully committed to maintaining and enhancing the IMS, reinforcing a culture of compliance, security, and transparency.

• Tomasz Michael Pelc — SMF3 Executive Director · FCA Reference TMP01019
• William James Palmer — SMF16 Compliance Oversight & SMF17 MLRO · FCA Reference WJP01065
• Certified individuals maintained under the FCA Certification Regime in client dealing and significant management roles