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Client Questionnaire

Intermediary · Version 02

A. General

Please use the space provided or attach an extra sheet if there is insufficient room for answers.

Full legal name of company: Northwind Marine Brokers Ltd.

Mailing address: 23 Lime Street, London EC3M 7HR, United Kingdom

Principal address: Same as mailing address

Telephone: +44 20 7946 0118 E-mail: compliance@northwind-marine.example

Website: northwind-marine.example

Type of entity: Limited Co

Incorporation: 12 March 1998 in London, England

Registration / licence number: 03567812

Regulator: Financial Conduct Authority (FCA), Reg. No. 312456

Other trading names: Northwind Marine · NMB Underwriting

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B. Background

During the last 5 years has the company…

Merged with another company
No
Acquired another company
Yes — Acquired Vale Marine Brokers Ltd. (London) in Q2 2023; integration completed January 2024.
Changed names
No

Owners controlling 10% or more

• Cavendish Holdings PLC — acquired 2018 — 62%

• James R. Aldercroft (Founder) — acquired 1998 — 24%

• Vale Family Trust — acquired 2023 — 14%

Board of directors

Names, positions, nationalities and dates of birth — used for AML and sanctions screening.

• Helena Vale-Greenfield — Chief Executive Officer (British, b. 1974-09-02)

• James R. Aldercroft — Chairman (British, b. 1962-04-17)

• Marcus T. Whitfield — Chief Financial Officer (Irish, b. 1980-01-25)

Total employees — current year: 84 Prior year: 76

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C. Operations

Politically exposed person (PEP)

No directors, owners or senior managers are PEPs.

How the company operates: Wholesale Broker

Engaged in business other than insurance / reinsurance

Licences held

• Northwind Marine Brokers Ltd. — United Kingdom — FCA Authorised (No. 312456, 2003 — present)

• Northwind (Bermuda) Ltd. — Bermuda — BMA Class 3 Insurance Broker (No. BM-44823, 2017 — present)

Lloyd's approved coverholder

Yes — Coverholder since 2009 — currently on PIN BIN-04412.

Compliance attestations

Pending or threatened litigation in the last 5 years
No
Disciplinary action by a regulator
No
Underwriter funds segregated from operating funds
Yes
FCA Consumer Duty (PRIN12) measures in place
Yes
Vulnerable-customer policy
Yes

Statements contact: Priya Shah · statements@northwind-marine.example

Please return the completed questionnaire and supporting documentation to your usual Aldercroft & Vale contact by e-mail.

The .docx contains {{ var }}, {{#section}} and {{^section}} markers — docxtemplater-compatible. Sections with a page break become real page breaks; the header/footer become docx headers and footers.