Legal
Governance, Policies & Ethical Standards
Our published policy suite governs how we operate, manage risk, and treat our clients.
Policy documents
17 policy documents
AML Policy
PDF download
Code of Conduct
PDF download
Code of Ethics
PDF download
Complaint Handling Policy
PDF download
Complaints Policy
PDF download
Conflict of Interests Policy
PDF download
Corporate Social Responsibility Statement (CSR)
PDF download
Emergency Response and Business Continuity Plan
PDF download
Record Keeping Policy
PDF download
Risk Management Policy
PDF download
Annex A Risk Management Policy – Risk Appetite
PDF download
Annex B Risk Management Policy – Risk Register
PDF download
Social Media Policy
PDF download
Treating Customers Fairly Policy
PDF download
Whistleblower Policy
PDF download
Whistleblower Report Form
PDF download
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