Compliance & Regulation
Reports, disclosure documents and key information on compliance with regulations. The most up to date Compliance and Regulatory reports, Disclosure documents and Key Information documents can be found in this section of the website.
Risk and Regulatory Capital Management
Aberforth’s latest disclosure document is available to download below or via the Literature Library.
KID Explanation
The passing of the Packaged Retail and Insurance-based Investment Products (Retail Disclosure) (Amendment) Regulations 2024 means that the Packaged Retail and Insurance-based Investment Products (“PRIIPs”) Regulation does not now apply to shares in a closed-ended investment company that is UK-listed.
A modified version of the PRIIPS key information document (“KID”) for each Investment Trust is included on this website to provide potential and existing investors with key information for each product. It is not marketing material. The information contained within a KID is aimed at helping the investor understand the nature, risks, costs, potential gains and losses of a product, as well as allowing the investor to compare products.
The KID should be read in conjunction with other materials relating to the product, including the latest Factsheet, Half-Yearly Report and Annual Report, copies of which are also available on this website.
The factors influencing investment performance in the KID may not reflect the actual returns for the product and should only be viewed as examples of potential returns and cannot be guaranteed. Investors should note that the performance returns shown will be impacted by market conditions and investors may not get back the full value of their initial investment.
Aberforth Geared Value & Income Trust plc
Investors should note the following points regarding the content of Aberforth Geared Value & Income Trust’s Zero Dividend Preference shares KID:
(1) no cost figures are shown as none of the Trust’s costs are attributed to the Zero Dividend Preference shares.
Documents
Copies of the current KID for each of Aberforth Smaller Companies Trust – Ordinary shares; Aberforth Geared Value & Income Trust – Ordinary shares; and Aberforth Geared Value & Income Trust – Zero Dividend Preference shares are available to view and download below or within the Literature Library.
Remuneration
Aberforth’s latest Remuneration Disclosure document is available to view or download below or from our Literature Library.
Disclaimer
An investment in an Aberforth product may go down as well as up and past performance is not an indicator of future performance. An investment in a product is suitable only for investors who are able to evaluate the merits and risks of such an investment and who have sufficient resources to be able to bear any losses which may arise (which may be equal to the total amount invested). Before making an investment in an Aberforth product, investors are encouraged to consider all sources of information available – including Factsheets and Annual Reports – that will assist in establishing a detailed understanding of the product and consider seeking independent financial advice.
Conflicts of Interest
The document below sets out the key policies, procedures and controls established by Aberforth Partners LLP & Aberforth Unit Trust Managers Limited (Aberforth) pursuant to the effective prevention, management, and monitoring of conflicts of interest.