Alcentra Limited is incorporated in England.
Alcentra Limited is authorised and regulated by the Financial Conduct Authority.
Alcentra Limited is registered as an investment adviser with the Securities and Exchange Commission.
160 Queen Victoria Street
London EC4V 4LA
Registration number 2958399
Incorporated in England and Wales
UK Stewardship Code and Shareholder Engagement
This statement is issued by Alcentra Limited (“Alcentra”), a company incorporated under the laws of England and Wales, which is authorised and regulated by the Financial Conduct Authority (“FCA”) in the United Kingdom.
Alcentra is an asset management business focussed on sub-investment grade debt capital markets in Europe. Therefore the firm does not trade any equity securities that are listed on the London Stock Exchange or any other listed exchanges in Europe or EU regulated market.
Alcentra Limited complies with particular principles of the Stewardship Code (the “Code”) but does not comply with the overall Code. The firm endorses the provisions of the Code but deems them not to be applicable due to the investment strategy pursued by the firm.
Alcentra has elected not to develop a shareholder engagement policy as it does not pursue a strategy of investing in shares traded on an EU regulated market.
Fixed Income Securities
Alcentra has noted the recently issued update to the UK Stewardship code from January 2020 and the extension of financial instruments to include fixed income securities. We are currently reviewing the content of the code in relation to our business model and will publish an updated disclosure in due course as to the applicability to the specific asset classes and how the firm, when engaging with UK companies will:
- seek to amend to terms and conditions in indentures or contracts;
- seek to access information provided in trust deeds;
- seek impairment rights; and
- review prospectus and transaction documents.
Calls to Alcentra Limited may be recorded in line with applicable laws and regulations and for training and monitoring purposes.
Alcentra NY, LLC
Alcentra NY, LLC is incorporated in Delaware, USA
Alcentra NY, LLC is registered as an investment adviser with the Securities and Exchange Commission
Alcentra NY, LLC
200 Park Avenue
New York, NY 10166
Alcentra High Yield
BNY Mellon Center
201 Washington Street
Boston, MA 02108
A division of Alcentra NY, LLC