Conflicts of Interest Policy. Please refer to our conflicts of interest policy on our website for further information on how we manage conflicts which would affect the impartiality of investment research we provide to you. Upon request, we will provide you with any further details in that regard.
Conflicts of Interest Policy. 28.1 In accordance with the Law, the Company is required to take reasonable steps to detect and avoid conflicts of interest arising between the Company and the Client and between other Clients and thus Company has adopted policies to ensure that the all Clients are treated fairly and that their interests are protected
28.2 The Company’s policy on conflicts of interest, identification of conflicting interest, procedures and controls of managing the same and all relevant information is set out in the Conflict of Interest document (as amended from time to time) available at all times on the Company’s Website which document is incorporated in this Agreement and forms an integral part thereof.
28.3 The conflict of interest policy applies to all directors, employees, any persons directly or indirectly linked to the Company (“Related Persons”) and refers to all interactions with all Clients.
Conflicts of Interest Policy. The Equiniti group of companies has established and implemented a Conflicts Policy (which may be revised and updated from time to time), which sets out how they seek to identify and manage all material conflicts of interest. Such conflicts of interest can occur in their day to day business activities, for example, where one of their clients could make a gain at the direct expense of another client, or they might be faced with an opportunity
Conflicts of Interest Policy. 29.1 In accordance with the FCA Rules we have policies in place to avoid or manage any conflict of interest which might arise between ourselves and any of our clients or between our clients. Bordier UK is required to have a Conflicts of Interest Policy to ensure that any possible conflicts between our interests and those of our clients are properly handled. This disclosure statement summarises potential conflicts and details how we address them.
29.2 Wherever we can practically do so we will endeavour to arrange our business and manage our affairs in such a way so as to avoid any conflicts of interest. This is not always possible and we have identified a number of areas where we may be unable to avoid or manage a conflict (or potential conflicts) fully and thus we are advising you of this fact. The general nature and/or source of these potential conflicts are:
29.2.1 we, or our directors, officers and employees, may have bought or sold a particular financial instrument or investment and/or have a view on a particular financial instrument or investment or issuer of investments.
29.2.2 we may combine your orders with the orders of other clients. Such aggregation may operate on some occasions to your advantage and on some occasions to your disadvantage. Where orders have been aggregated, they will be allocated to clients on a pro-rata basis.
29.2.3 we may pass orders to third-party brokers for execution in accordance with the third-party broker's order execution policy.
29.2.4 it is possible that one of our directors, officers or employees may be a director of a company in which we wish to invest.
29.2.5 in conducting our business, our directors, officers or employees may learn confidential information about our clients, prospective clients and third parties.
29.2.6 directors, officers or employees may be offered hospitality or gifts by service and product providers.
29.3 to manage any potential conflict we operate a number of polices and procedures as follows:
29.3.1 we have implemented a policy of independence with which our directors, officers and employees are required to disregard any information they receive or action they have taken in relation to one client when dealing with another.
29.3.2 we do not distribute investment research.
29.3.3 if one of our directors, officers or employees is a director of a company in which we wish to invest we will not invest in this company on a pro-active basis on behalf of discretionary clients.
29.3.4 we have Persona...
Conflicts of Interest Policy. The Company, acting in accordance with Applicable Regulations, has established and implements a conflict of interests’ policy, a summary of which may be found under title ‘Conflicts of Interest Policy’ hereto which forms an integral part of the Agreement. The Client has the right to request and the Company shall provide the Client upon such request with additional details on the conflicts of interest policy followed by the Company.
Conflicts of Interest Policy. 27.1 The Company warrants to take reasonable steps to detect and avoid conflicts of interest arising between the Company and the Client and between other Clients and thus Company has adopted policies to ensure that the all Clients are treated fairly and that their interests are protected.
27.2 The Company’s policy on conflicts of interest, identification of conflicting interest, procedures and controls of managing the same and all relevant information is set out in the Conflict of Interest document (as amended from time to time) available at all times on the Company’s Website which document is incorporated in this Agreement and forms an integral part thereof.
27.3 The conflict of interest policy applies to all directors, employees, any persons directly or indirectly linked to the Company (the “Related Persons”) and refers to all interactions with all Clients
Conflicts of Interest Policy. The Company shall have adopted the Conflicts of Interest Policy in form and substance reasonably acceptable to the Purchaser and delivered a copy thereof to the Purchaser.
Conflicts of Interest Policy. RBCCM forms part of a major banking group. It is therefore possible that RBCCM or one of its subsidiaries or one of their officers, employees, representatives or agents (together “the Bank Group”) or another client of the Bank Group may have interests, relationships and/or arrangements that give rise to conflicts of interest in relation to business that is transacted with you. Conflicts of interest may also arise between our different clients. We have therefore established a conflicts of interest policy, a copy of which is available on request, and implemented procedures and arrangements to identify prevent and manage such conflicts.
Conflicts of Interest Policy. Recipients must establish written policies and procedures to prevent employees, consultants, and others (including family, business, or other ties) involved in grant supported activities, from involvement in actual or perceived conflicts of interest. The policies and procedures must:
a) Address conditions under which outside activities, relationships, or financial
b) interests are proper or improper;
c) Provide for advance disclosure of outside activities, relationships, or financial
d) interests to a responsible organizational official;
e) Include a process for notification and review by the responsible official of
f) potential or actual violations of the standards; and
g) Specify the nature of penalties that may be imposed for violations.
Conflicts of Interest Policy. Xxxxxxx must establish written policies and procedures to prevent employees, consultants, and others (including family, business, or other ties) involved in grant-supported activities, from involvement in actual or perceived conflicts of interest. The policies and procedures must:
a. address conditions under which outside activities, relationships, or financial interests are proper or improper;
b. provide for advance disclosure of outside activities, relationships, or financial interests to a responsible organizational official;
c. include a process for notification and review by the responsible official of potential or actual violations of the standards; and
d. specify the nature of penalties that may be imposed for violations.
