The value of investments can fall as well as rise. Investors may get back less than they invested. Past performance is not a reliable indicator of future results. Capital at Risk.

MODERN SLAVERY AND HUMAN TRAFFICKING STATEMENT

INTRODUCTION

Oberon Investments Group plc (“Oberon”, “the Group”), together with its subsidiaries, is committed to acting responsibly and ethically in all areas of our business. We support the principles of the Modern Slavery Act 2015 and are committed to preventing modern slavery and human trafficking in our operations and supply chains.

This statement is made in accordance with section 54 of the Modern Slavery Act 2015.

OUR BUSINESS

Oberon is a United Kingdom based financial services group listed on the AQSE Apex Market and regulated by the Financial Conduct Authority. Through its subsidiaries including, but limited to, Oberon Investments Limited, Oberon Securities Limited, and Smythe House Limited, the Group provides services across investment management, wealth planning, private ventures and corporate broking.

As a professional services business employing highly skilled staff, the risk of modern slavery within our own operations is considered low.

SUPPLY CHAINS

Our supply chains are limited and consist mainly of professional and regulated service providers such as custodians, information technology and software vendors, consultants, and office services. While we consider these relationships low risk, we recognise that no supply chain is entirely risk free.

APPROACH

We take the following proportionate steps to prevent modern slavery and human trafficking:
 

  • All employees are subject to right to work checks and pre-employment screening
  • Due diligence and know your counterparty checks are performed on key counterparties and suppliers in line with regulatory requirements
  • Contractual arrangements with suppliers require compliance with applicable laws
  • Staff receive compliance training which includes a module on modern slavery and human trafficking
  • Concerns can be raised confidentially under our whistleblowing framework
GOVERNANCE

Oversight of modern slavery risk forms part of the Group’s wider governance and compliance framework. Responsibility for day-to-day compliance rests with management, with escalation through established management committees where appropriate. The Board retains ultimate responsibility for approving this statement and for setting the Group’s overarching ethical standards.

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