Code of Conduct

Ethical Standards Policy: We help you establish a code of conduct that reflects industry best practices and meets regulatory standards for client interactions, fair treatment, and transparency.

Business Conduct Policies: Our team develops specific policies covering areas such as conflict of interest management, customer communication, and complaint handling.

Client Communication and
Disclosure

Clear Communication Standards: We assist in creating communication guidelines to ensure that all client-facing materials are clear, fair, and not misleading, in line with regulatory expectations.

Disclosure Requirements: We guide you on meeting regulatory disclosure requirements, ensuring that your clients are fully informed about fees, risks, and terms of service.

Product Suitability and Customer Protection

Client Suitability Assessments: Our team designs processes to assess and document client suitability, ensuring that products and services are appropriate for your clients’ needs and risk profiles.

Customer Protection Protocols: We help implement procedures that prioritise client protection, such as establishing escalation processes for client complaints and monitoring client satisfaction.

Monitoring, Reporting, and Improvement

Conduct Monitoring and Reporting: We develop monitoring frameworks to help you track and report on business conduct, including internal audits and client feedback mechanisms.

Ongoing Training and Adaptation: We provide training resources for your team to keep them informed of conduct-related policies and to foster an ethical, client-centred culture.