Our Story
Business Standards
Integrity
A firm must conduct its business with integrity.
Skill, Care & Diligence
A firm must conduct its business with due skill, care and diligence.
Management & Control
A firm must take reasonable care to organize and control its affairs responsibly and effectively, with adequate risk management systems.
Financial Prudence
A firm must maintain adequate financial resources.
Market Conduct
A firm must observe proper standards of market conduct.
Customers' Interests
A firm must pay due regard to the interests of its customers and treat them fairly.
Communications With Clients
A firm must pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, fair and not misleading in any manner.
Conflicts Of Interest
A firm must pay due regard to the interests of its customers and treat them fairly.
Customers: Relationships Of Trust
Reasonable care and diligence should be used to analyze suitability of every transaction to an individual client's portfolio.
Relations With Regulators
A firm must deal with its regulators in an open and cooperative way, and must disclose to the appropriate regulator the required information but also take reasonable care to ensure client confidentiality.