Policies
In the interests of our clients, we aim to obtain the best possible result when placing orders with other firms such as third-party brokers, for the execution of client orders or when transmitting orders on behalf of clients
Execution only describes sales where a client has requested a specific investment and has chosen not to receive advice relating to the investment at that time.
Both the Financial Conduct Authority (FCA), which regulates our firm, and the Bribery Act aim to prevent firms and people from gaining improper advantage over others by inducing someone to do something they would not otherwise do.
We aim to identify clients who may be vulnerable by virtue of their age, disability or circumstance.
We take care to maintain high standards of service, but we are aware that from time to time you may feel we have not done all we could to meet your expectations.
A ‘conflict of interest’ is a situation where the firm or an employee, or other associate of the firm has competing professional or personal interests which may potentially influence them to act in a manner that may not be in the best interests of the firm’s clients.