Compliance - FSG
Fat Prophets is the trading name for Mint Financial (UK) Limited, (Company Number 04255908). Mint Financial (UK) Limited is authorised and regulated by the Financial Services Authority (Firm Reference Number 220591).
Conflicts of Interest
Fat Prophets has procedures in place designed to avoid potential conflicts of interest, or the appearance of such. These include:
- Relevant shares and interests in securities held by Mint Financial (UK) Limited, its directors, employees, or affiliates, are disclosed in each report.
- Where any relationship exists with companies recommended by Fat Prophets, other than a direct shareholding, this is also fully disclosed in the respective research report
- Fat Prophets does not have agreements in place with any of the companies we recommend with respect to an obligation to provide research coverage
- All share transactions by Mint Financial (UK) Limited, its directors, employees, or affiliates, must be pre-approved by the Compliance Department of Fat Prophets.
- Trading by Mint Financial (UK) Limited, its directors, employees, or affiliates, is prohibited during the first 48 hours after the Fat Prophets report is released.
- Trading by Mint Financial (UK) Limited, its directors, employees, or affiliates, in stocks covered in the next Fat Prophets report is prohibited in the seven days leading up to publication.
- All shares and interests in securities purchased by Mint Financial (UK) Limited, its directors, employees, or affiliates must be held for a minimum period of 30 days.
Types of recommendations
The below table lists the characteristics of the recommendations made by Fat Prophets each quarter.
| Quarter Ended | Recommendation | Number | Proportion |
|---|
| 31 March 2009 |
BUY |
15 |
34% |
| 31 March 2009 |
SELL |
1 |
2% |
| 31 March 2009 |
HOLD |
28 |
64% |
| 31 March 2009 |
TOTAL |
44 |
100% |
| 31 December 2008 |
BUY |
12 |
26% |
| 31 December 2008 |
SELL |
0 |
0% |
| 31 December 2008 |
HOLD |
34 |
74% |
| 31 December 2008 |
TOTAL |
46 |
100% |
| 30 September 2008 |
BUY |
19 |
31% |
| 30 September 2008 |
SELL |
2 |
3% |
| 30 September 2008 |
HOLD |
40 |
66% |
| 30 September 2008 |
TOTAL |
61 |
100% |
| 30 June 2008 |
BUY |
18 |
35% |
| 30 June 2008 |
SELL |
1 |
2% |
| 30 June 2008 |
HOLD |
32 |
63% |
| 30 June 2008 |
TOTAL |
51 |
100% |
| 31 March 2008 |
BUY |
16 |
38% |
| 31 March 2008 |
SELL |
1 |
2% |
| 31 March 2008 |
HOLD |
25 |
60% |
| 31 March 2008 |
TOTAL |
42 |
100% |
| 31 December 2007 |
BUY |
13 |
25% |
| 31 December 2007 |
SELL |
3 |
6% |
| 31 December 2007 |
HOLD |
35 |
69% |
| 31 December 2007 |
TOTAL |
51 |
100% |
| 30 September 2007 |
BUY |
20 |
35% |
| 30 September 2007 |
SELL |
2 |
4% |
| 30 September 2007 |
HOLD |
35 |
61% |
| 30 September 2007 |
TOTAL |
57 |
100% |
| 30 June 2007 |
BUY |
20 |
38% |
| 30 June 2007 |
SELL |
5 |
9% |
| 30 June 2007 |
HOLD |
28 |
53% |
| 30 June 2007 |
TOTAL |
53 |
100% |
| 31 March 2007 |
BUY |
23 |
45% |
| 31 March 2007 |
SELL |
1 |
2% |
| 31 March 2007 |
HOLD |
27 |
53% |
| 31 March 2007 |
TOTAL |
51 |
100% |
| 31 December 2006 |
BUY |
16 |
33% |
| 31 December 2006 |
SELL |
4 |
8% |
| 31 December 2006 |
HOLD |
29 |
59% |
| 31 December 2006 |
TOTAL |
49 |
100% |
| 30 September 2006 |
BUY |
16 |
27% |
| 30 September 2006 |
SELL |
1 |
2% |
| 30 September 2006 |
HOLD |
43 |
71% |
| 30 September 2006 |
TOTAL |
60 |
100% |
| 30 June 2006 |
BUY |
12 |
23% |
| 30 June 2006 |
SELL |
4 |
8% |
| 30 June 2006 |
HOLD |
36 |
69% |
| 30 June 2006 |
TOTAL |
52 |
100% |
| 31 March 2006 |
BUY |
10 |
20% |
| 31 March 2006 |
SELL |
2 |
4% |
| 31 March 2006 |
HOLD |
38 |
76% |
| 31 March 2006 |
TOTAL |
50 |
100% |
| 31 December 2005 |
BUY |
12 |
23% |
| 31 December 2005 |
SELL |
3 |
6% |
| 31 December 2005 |
HOLD |
38 |
71% |
| 31 December 2005 |
TOTAL |
53 |
100% |
| 30 September 2005 |
BUY |
9 |
15% |
| 30 September 2005 |
SELL |
1 |
2% |
| 30 September 2005 |
HOLD |
49 |
83% |
| 30 September 2005 |
TOTAL |
59 |
100% |
| 30 June 2005 |
BUY |
8 |
14% |
| 30 June 2005 |
SELL |
2 |
4% |
| 30 June 2005 |
HOLD |
47 |
82% |
| 30 June 2005 |
TOTAL |
57 |
100% |
| 31 March 2005 |
BUY |
10 |
22% |
| 31 March 2005 |
SELL |
2 |
4% |
| 31 March 2005 |
HOLD |
34 |
74% |
| 31 March 2005 |
TOTAL |
46 |
100% |
Our commitment to you
At Fat Prophets each of our subscribers is important to us, and we believe you have the right to a fair, swift, and courteous service at all times.
In the event of a complaint we will deal with it promptly, effectively and in a positive manner.
Fat Prophets Complaints Procedure
1. We will acknowledge your complaint promptly.
2. We will investigate your complaint and endeavour to send a final response to you within four weeks. If we are unable to provide you with a final response within this time, we will send you an update.
3. We will endeavour to send a final response to you within eight weeks of receipt of your complaint. If we are unable to provide you with a final response within this time frame, we will write to you explaining why and advise you when you can expect a final response.
4. If more than eight weeks from the date of your complaint has past and you have not received a final response, or you are dissatisfied with the final response you have received (or at any stage of the process) you can write to:
Financial Ombudsman Service (FOS)
South Quay Plaza
183 Marsh Wall
London
E14 9SR
You must refer your complaint to the Financial Ombudsman Service within six months of the date on the final response.