Compliance - FSG

Fat Prophets is the trading name for Mint Financial (UK) Limited, (Company Number 04255908). Mint Financial (UK) Limited is authorised and regulated by the Financial Services Authority (Firm Reference Number 220591).

Conflicts of Interest

Fat Prophets has procedures in place designed to avoid potential conflicts of interest, or the appearance of such. These include:

Relevant shares and interests in securities held by Mint Financial (UK) Limited, its directors, employees, or affiliates, are disclosed in each report.
Where any relationship exists with companies recommended by Fat Prophets, other than a direct shareholding, this is also fully disclosed in the respective research report
Fat Prophets does not have agreements in place with any of the companies we recommend with respect to an obligation to provide research coverage
All share transactions by Mint Financial (UK) Limited, its directors, employees, or affiliates, must be pre-approved by the Compliance Department of Fat Prophets.
Trading by Mint Financial (UK) Limited, its directors, employees, or affiliates, is prohibited during the first 48 hours after the Fat Prophets report is released.
Trading by Mint Financial (UK) Limited, its directors, employees, or affiliates, in stocks covered in the next Fat Prophets report is prohibited in the seven days leading up to publication.
All shares and interests in securities purchased by Mint Financial (UK) Limited, its directors, employees, or affiliates must be held for a minimum period of 30 days.

Types of recommendations

The below table lists the characteristics of the recommendations made by Fat Prophets each quarter.

Quarter Ended	Recommendation	Number	Proportion
31 December 2010	BUY	19	42%
31 December 2010	SELL	3	7%
31 December 2010	HOLD	23	51%
31 December 2010	TOTAL	45	100%
30 September 2010	BUY	19	33%
30 September 2010	SELL	4	7%
30 September 2010	HOLD	35	60%
30 September 2010	TOTAL	58	100%
30 June 2010	BUY	18	37%
30 June 2010	SELL	3	6%
30 June 2010	HOLD	28	57%
30 June 2010	TOTAL	49	100%
31 March 2010	BUY	15	34%
31 March 2010	SELL	3	7%
31 March 2010	HOLD	26	59%
31 March 2010	TOTAL	44	100%
31 December 2009	BUY	19	36%
31 December 2009	SELL	3	6%
31 December 2009	HOLD	31	58%
31 December 2009	TOTAL	53	100%
30 September 2009	BUY	17	31%
30 September 2009	HOLD	2	4%
30 September 2009	SELL	35	65%
30 September 2009	TOTAL	54	100%
30 June 2009	BUY	20	42%
30 June 2009	HOLD	1	2%
30 June 2009	SELL	27	56%
30 June 2009	TOTAL	48	100%
31 March 2009	BUY	15	34%
31 March 2009	SELL	1	2%
31 March 2009	HOLD	28	64%
31 March 2009	TOTAL	44	100%
31 December 2008	BUY	12	26%
31 December 2008	SELL	0	0%
31 December 2008	HOLD	34	74%
31 December 2008	TOTAL	46	100%
30 September 2008	BUY	19	31%
30 September 2008	SELL	2	3%
30 September 2008	HOLD	40	66%
30 September 2008	TOTAL	61	100%
30 June 2008	BUY	18	35%
30 June 2008	SELL	1	2%
30 June 2008	HOLD	32	63%
30 June 2008	TOTAL	51	100%
31 March 2008	BUY	16	38%
31 March 2008	SELL	1	2%
31 March 2008	HOLD	25	60%
31 March 2008	TOTAL	42	100%
31 December 2007	BUY	13	25%
31 December 2007	SELL	3	6%
31 December 2007	HOLD	35	69%
31 December 2007	TOTAL	51	100%
30 September 2007	BUY	20	35%
30 September 2007	SELL	2	4%
30 September 2007	HOLD	35	61%
30 September 2007	TOTAL	57	100%
30 June 2007	BUY	20	38%
30 June 2007	SELL	5	9%
30 June 2007	HOLD	28	53%
30 June 2007	TOTAL	53	100%
31 March 2007	BUY	23	45%
31 March 2007	SELL	1	2%
31 March 2007	HOLD	27	53%
31 March 2007	TOTAL	51	100%
31 December 2006	BUY	16	33%
31 December 2006	SELL	4	8%
31 December 2006	HOLD	29	59%
31 December 2006	TOTAL	49	100%
30 September 2006	BUY	16	27%
30 September 2006	SELL	1	2%
30 September 2006	HOLD	43	71%
30 September 2006	TOTAL	60	100%
30 June 2006	BUY	12	23%
30 June 2006	SELL	4	8%
30 June 2006	HOLD	36	69%
30 June 2006	TOTAL	52	100%
31 March 2006	BUY	10	20%
31 March 2006	SELL	2	4%
31 March 2006	HOLD	38	76%
31 March 2006	TOTAL	50	100%
31 December 2005	BUY	12	23%
31 December 2005	SELL	3	6%
31 December 2005	HOLD	38	71%
31 December 2005	TOTAL	53	100%
30 September 2005	BUY	9	15%
30 September 2005	SELL	1	2%
30 September 2005	HOLD	49	83%
30 September 2005	TOTAL	59	100%
30 June 2005	BUY	8	14%
30 June 2005	SELL	2	4%
30 June 2005	HOLD	47	82%
30 June 2005	TOTAL	57	100%
31 March 2005	BUY	10	22%
31 March 2005	SELL	2	4%
31 March 2005	HOLD	34	74%
31 March 2005	TOTAL	46	100%

Our commitment to you

At Fat Prophets each of our subscribers is important to us, and we believe you have the right to a fair, swift, and courteous service at all times.

In the event of a complaint we will deal with it promptly, effectively and in a positive manner.

Fat Prophets Complaints Procedure

1. We will acknowledge your complaint promptly.

2. We will investigate your complaint and endeavour to send a final response to you within four weeks. If we are unable to provide you with a final response within this time, we will send you an update.

3. We will endeavour to send a final response to you within eight weeks of receipt of your complaint. If we are unable to provide you with a final response within this time frame, we will write to you explaining why and advise you when you can expect a final response.

4. If more than eight weeks from the date of your complaint has past and you have not received a final response, or you are dissatisfied with the final response you have received (or at any stage of the process) you can write to:

Financial Ombudsman Service (FOS)
South Quay Plaza
183 Marsh Wall
London
E14 9SR

You must refer your complaint to the Financial Ombudsman Service within six months of the date on the final response.

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