Legal Information

1. Corporate Structure

Brenton operates through multiple legal entities across different jurisdictions:

2. Regulatory Framework

2.1 Singapore

Brenton Financial Pte. Ltd is licensed by the Monetary Authority of Singapore (MAS) under the Securities and Futures Act (Cap. 289). We comply with all MAS regulations, including:

• Notice on Prevention of Money Laundering and Countering the Financing of Terrorism
• Guidelines on Fair Dealing
• Code of Conduct for Financial Advisers
• Personal Data Protection Act 2012

2.2 Australia

Brenton Financial Pty Ltd holds an Australian Financial Services License (AFSL No. 543210) issued by ASIC. We comply with:

• Corporations Act 2001
• ASIC Regulatory Guides
• Anti-Money Laundering and Counter-Terrorism Financing Act 2006
• Privacy Act 1988 and Australian Privacy Principles

2.3 Korea

Brenton Financial Korea is registered with the Financial Services Commission and complies with:

• Financial Investment Services and Capital Markets Act
• Act on Reporting and Use of Specific Financial Transaction Information
• Personal Information Protection Act
• Foreign Exchange Transactions Act

2.4 United Arab Emirates

Brenton Financial DIFC is regulated by the Dubai Financial Services Authority (DFSA) and operates under:

• DFSA Rulebook
• DIFC Laws and Regulations
• Anti-Money Laundering and Counter-Terrorist Financing Requirements
• DIFC Data Protection Law

3. Services and Limitations

3.1 Scope of Services

Brenton provides the following advisory services:

• Mergers & Acquisitions: Buy-side and sell-side advisory, valuation, due diligence, transaction execution
• Strategic Advisory: Corporate strategy, business transformation, strategic partnerships
• Capital Markets (Real Estate): Debt and equity advisory, capital structuring, lender relationships
• Capital Markets (Corporate): Capital raising, debt advisory, IPO advisory, capital structure optimization

3.2 What We Do Not Do

Brenton does not:

• Manage client funds or assets
• Provide discretionary investment management services
• Offer investment products or securities directly
• Act as a broker-dealer or principal in transactions
• Provide tax, legal, or accounting advice (clients should consult specialized advisors)
• Guarantee transaction outcomes or investment returns

3.3 Client Eligibility

Our services are provided to:

• Institutional investors
• Corporations and corporate groups
• Real estate developers and investors
• Accredited investors and high-net-worth individuals
• Family offices and private investment entities

We do not provide services to retail investors or the general public.

4. Professional Standards and Memberships

Brenton maintains the highest professional standards and is affiliated with leading industry organizations:

• International Capital Market Association (ICMA): Member
• Asia Securities Industry & Financial Markets Association (ASIFMA): Member
• Australian Financial Markets Association (AFMA): Member
• CFA Institute: Multiple team members hold CFA designation
• Chartered Accountants: Team includes qualified CPAs and CAs

5. Complaints and Dispute Resolution

5.1 Internal Complaints Process

If you have a complaint about our services, please contact:

Compliance Officer
Email: compliance@brenton.com
Phone: +65 6789 0123

We will acknowledge your complaint within 3 business days and provide a substantive response within 30 days.

5.2 External Dispute Resolution

If you are not satisfied with our response, you may refer the matter to:

• Singapore: Financial Industry Disputes Resolution Centre (FIDReC)
• Australia: Australian Financial Complaints Authority (AFCA)
• Korea: Korea Financial Investment Association Dispute Resolution Committee
• UAE: DFSA Complaints Scheme

6. Professional Indemnity Insurance

Brenton maintains comprehensive professional indemnity insurance covering all licensed activities and jurisdictions. Our insurance provides coverage for:

• Professional negligence and errors
• Breach of professional duty
• Defamation and breach of confidentiality
• Loss of documents

Coverage details are available upon request.

7. Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF)

Brenton maintains rigorous AML/CTF procedures in compliance with all applicable laws. Our procedures include:

• Client Due Diligence: Identity verification, source of funds verification, beneficial ownership identification
• Enhanced Due Diligence: For high-risk clients, politically exposed persons (PEPs), and complex structures
• Ongoing Monitoring: Transaction monitoring, sanctions screening, adverse media checks
• Record Keeping: Maintaining records for minimum regulatory periods (typically 7 years)
• Reporting: Suspicious transaction reporting to relevant authorities
• Training: Regular staff training on AML/CTF obligations

We reserve the right to decline engagements or terminate relationships where we cannot satisfy AML/CTF requirements.

8. Conflicts of Interest Policy

Brenton maintains comprehensive conflicts management procedures designed to identify, assess, and manage potential conflicts of interest. Our approach includes:

• Conflict Checks: Systematic checks before accepting new engagements
• Information Barriers: Physical and logical separation of conflicted teams
• Disclosure: Transparent disclosure of material conflicts to clients
• Client Consent: Obtaining informed consent when conflicts can be adequately managed
• Declining Engagements: Refusing engagements where conflicts cannot be appropriately managed

9. Data Protection and Privacy

Brenton complies with data protection laws in all jurisdictions where we operate:

• Singapore: Personal Data Protection Act 2012 (PDPA)
• Australia: Privacy Act 1988 and Australian Privacy Principles (APPs)
• Korea: Personal Information Protection Act (PIPA)
• UAE: DIFC Data Protection Law

For details on how we collect, use, and protect personal information, please refer to our Privacy Policy.

10. Important Disclaimers

10.1 General Disclaimer

Information on this website is provided for general informational purposes only and does not constitute:

• Investment advice or recommendations
• An offer or solicitation to buy or sell securities
• Tax, legal, or accounting advice
• A comprehensive disclosure of all risks

10.2 Past Performance

Past performance and historical data are not reliable indicators of future results. All investments and transactions involve risk, including the potential loss of principal.

10.3 Forward-Looking Statements

This website may contain forward-looking statements regarding future events, market conditions, or economic trends. Such statements are subject to risks, uncertainties, and assumptions. Actual results may differ materially from those expressed or implied.

10.4 Third-Party Information

While we endeavor to use reliable sources, we do not warrant the accuracy, completeness, or timeliness of third-party information. We are not responsible for errors or omissions in third-party data.

11. Intellectual Property Rights

All content on this website, including but not limited to text, graphics, logos, images, software, and compilations, is the property of Brenton Financial Pte. Ltd or its licensors and is protected by:

• Copyright laws
• Trademark laws
• Trade secret laws
• Other intellectual property rights

Unauthorized reproduction, distribution, or creation of derivative works is strictly prohibited.

Trademarks: "Brenton," the Brenton logo, and other marks are trademarks of Brenton Financial Pte. Ltd. Use of these marks without express written permission is prohibited.

12. Contact Legal Team

For legal inquiries, compliance matters, or regulatory questions, please contact our Legal and Compliance team: