Regulatory disclosures

East Lodge Capital Partners LLP UK Stewardship Code Disclosure

Under Rule 2.2.3R of the FCA's Conduct of Business Sourcebook, East Lodge Capital Partners LLP (the "Firm") is required to include on this website a disclosure about the nature of its commitment to the UK Financial Reporting Council's Stewardship Code (the "Code") or, where it does not commit to the Code, its alternative investment strategy. The Code is a voluntary code and sets out a number of principles relating to engagement by investors with UK equity issuers, as follows:

The seven principles of the Code are that institutional investors should:

  • Publicly disclose their policy on how they will discharge their stewardship responsibilities;
  • Have and publicly disclose a robust policy on managing conflicts of interest in relation to stewardship;
  • Monitor their investee companies;
  • Establish clear guidelines on when and how they will escalate their activities;
  • Be willing to act collectively with other investors where appropriate;
  • Have a clear policy on voting and disclosure of voting activity; and
  • Report periodically on their stewardship and voting activities.

The Firm pursues an investment strategy to which the aims of the Code are not relevant.

The Firm’s strategy is to seek to achieve attractive risk-adjusted returns whilst limiting volatility by investing in global structured and corporate credit opportunities as well as investing in commercial real estate loans and other direct lending opportunities whilst also overlaying a hedging strategy. This strategy does not involve the Firm taking an activist shareholder approach.

Consequently, while the Firm supports the general objectives that underlie the Code, the provisions of the Code are not relevant to the type of trading currently undertaken by the Firm. If the Firm's investment strategy changes in such a manner that the provisions of the Code become relevant, the Firm will amend this disclosure accordingly.


East Lodge Capital Partners LLP Pillar 3 Disclosure  

If you wish to view the East Lodge Capital Partners LLP Pillar 3 Disclosure, please download the disclosure.


MiFID II Best Execution Disclosure for 2017 for East Lodge Capital Partners LLP 


East Lodge Capital Partners LLP (“East Lodge”) is registered with the FCA as a full-scope AIFM with top up permissions in respect of its activities in relation to managed accounts.  The MiFID II best execution disclosure requirements outlined in RTS28 therefore only apply to East Lodge in respect of its MiFID business which, for the year 2017, consisted solely of acting as investment manager to a single managed account, Boston Patriot Federal Street (“BPFS”).  Further, the disclosure requirements relate only to order placement and transmission activities and not to direct executions.


East Lodge transacts in a number of instrument types consisting of bonds (predominantly asset backed securities), derivatives (CDS and TRS) and derivative options, repo financing trades, and foreign exchange trades.  In all cases East Lodge transacts via direct execution and not order placement via third parties.  As such, we believe that East Lodge has no reporting obligation under RTS28.

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