A written code of conduct sets out your Firm’s mission, vision and values and goes a long way to demonstrating to your regulators and shareholders that your business is managing conduct risk from the top down. The code of conduct should set out your firm’s expectations for the legal and ethical behaviour of all of your employees and senior management.
CCLs team of consultants can work with you to develop a concise and easy to understand statement of your Firm’s expectations in respect of:
- the personal conduct of your staff: honesty, truthfulness and integrity
- compliance with laws regulations and policies
- your staff’s dealings with your clients, including
- keeping client information confidential
- providing accurate and truthful reports
- managing conflicts of interest and avoiding market abuse
- inter-personal conduct between your staff which includes
- establishing a culture of respect and non-discrimination
- providing a means for whistleblowing.