UK Disclosures

Overview

Polen Capital Management, LLC ("Polen Capital") is an SEC-registered investment adviser that provides discretionary investment management services to institutional clients worldwide. Polen Capital is not authorized or regulated by the Financial Conduct Authority ("FCA") in the United Kingdom. However, Polen Capital may provide investment management services to eligible UK-based clients under applicable exemptions.

Regulatory status

Polen Capital Management, LLC is registered as an investment adviser with the U.S. Securities and Exchange Commission ("SEC") under the Investment Advisers Act of 1940, as amended. Registration with the SEC does not imply a certain level of skill or training. Polen Capital is not authorized or regulated by the UK Financial Conduct Authority.

Client classification

Services provided by Polen Capital to UK-based clients are available only to persons who qualify as professional clients or eligible counterparties, as defined under the FCA Handbook. Polen Capital does not provide services to retail clients in the United Kingdom.

Complaints procedure

Polen Capital has established procedures for handling complaints. Any UK-based client who wishes to make a complaint should contact Polen Capital in writing at: Polen Capital Management, LLC, 1825 NW Corporate Blvd, Suite 300, Boca Raton, FL 33431, or via email at compliance@polencapital.com.

Compensation disclosure

Polen Capital is compensated for its investment advisory services through management fees, which are generally calculated as a percentage of assets under management. Specific fee arrangements are detailed in each client's investment management agreement and in Polen Capital's Form ADV Part 2A.