Minor Non-Monetary Benefit Disclosure
Allspring Global Investments (UK) Limited and Allspring Global Investments Luxembourg S.A. ‘Minor Non-Monetary Benefit’ Disclosure:
From time to time, Allspring Global Investments (UK) Limited and Allspring Global Investments Luxembourg S.A. and its branches may provide or receive ‘Minor Non-Monetary Benefits’ as defined in the FCA Handbook and MiFID II (revised Markets in Financial Instruments Directive) respectively.
Examples of such ‘Minor Non-Monetary Benefits’ include:
- Information relating to a financial instrument or an investment service that is either generic or personalised to an individual client.
- Written material from a third party, commissioned and paid for by an issuer to promote a new issuance by the company, where such material is made available at the same time to any firms wishing to receive it, or to the general public.
- Participation in conferences, seminars and other training events on the benefits and features of a specific financial instrument or an investment service.
- Hospitality of a reasonable de-minimis value, such as food and drink during a business meeting or a conference, seminar, or other training event. Allspring has a Gifts and Entertainment Policy applicable when giving and receiving gifts and/or to the provision or acceptance of business entertainment and corporate events.
- Research relating to an issue of shares/other financial instruments, produced prior to the issue, by a person providing underwriting services, and made available for all prospective investors.
- Research received for a limited trial period, to allow the recipient to evaluate the service.