MANAGING CONFLICTS OF INTEREST. The Company has established suitable and adequate internal procedures for minimising any potential conflicts of interest. The Company maintains a compliance department that is an independent unit within the Company. Among the duties of the CO is to monitor any possible deviation from the Company’s internal policies and procedures as well as identifying and managing any possible conflicts of interest. Once a conflict has been identified it needs to be appropriately and adequately managed. The Compliance function will assess each conflict and determine if the conflict is actual or perceived and what the value of the conflict or exposure is and the potential reputational risk. Compliance will then decide whether it is viable to go ahead with the transaction or if the conflict is too severe. If Compliance decides that the particular conflict can be mitigated, then controls to manage the conflict should be put in place and documented. The Company will manage conflicts of interest fairly, between itself and its clients, between itself and its employees and between its customers and to organise and control their internal affairs responsibly and effectively. The Company and its employees should act as per the principle of placing clients’ interests before self-interests and Company’s interests in order to avoid conflicts of interest in the fulfilment of professional activities on the securities market. To ensure client’s fair treatment, the Company will introduce the following procedures: • The Company shall avoid any conflict of interest with clients and, where such a conflict unavoidably arises, ensure fair treatment to the client by complete disclosure or by declining to act. • Employees are also prohibited to keep investor accounts in other Brokers without Company’s prior authorization and are obliged to bring this to Company’s attention. They are also obliged to authorize the Company to directly request transaction reports from the other Brokers. • If the Company has a material interest in a transaction to be entered into with or for a client, or a relationship which gives rise to a conflict of interest in relation to the transaction, the licensee shall not knowingly either advise, or deal in the exercise of discretion, in relation to that transaction. The only exception is when the licensee has fairly disclosed that material interest or relationship, as the case may be, to the client or the client has taken reasonable steps to ensure that neither the materia...
MANAGING CONFLICTS OF INTEREST. As part of its efforts to manage conflicts of interest, T1/HCI management has undertaken the following measures, which include but not limited to:
MANAGING CONFLICTS OF INTEREST contractors and people who provide services to the group
MANAGING CONFLICTS OF INTEREST. (a) The Mediator agrees to abide by the DRS Conflict of Interest Policy (attached).
MANAGING CONFLICTS OF INTEREST. (a) The Expert agrees to abide by the DRS Conflict of Interest Policy (attached).
MANAGING CONFLICTS OF INTEREST. We may act for clients which may compete with or, more rarely, may even be involved in business with you. Naturally, we will continue to assist those clients or new clients in projects that are not substantially related to work we are engaged to perform for you. We will not disclose or use any confidential information you may disclose to us in the course of our working for you except where required in the course of our acting for you.
MANAGING CONFLICTS OF INTEREST. 4.1 The Company has set up internal policies and has an in-house Compliance Department that are responsible for identifying and managing potential conflicts of interests. The above will also update the relevant internal procedures and ensure compliance with such procedures.
MANAGING CONFLICTS OF INTEREST. We have an obligation to operate and maintain effective organisational and administrative arrangements with a view to taking all reasonable steps to prevent conflicts of interest from causing a material risk of damage to the interests of its customers. Conflicts of interest may arise between ourselves and our clients, or between different clients. Within the scope of the business carried out by us a conflict of interest may be broadly described as a circumstance where a person:
MANAGING CONFLICTS OF INTEREST. 17.1 The CSU recognises that there may be occasions when two or more organisations may wish to receive services from CSU notwithstanding an actual or apparent conflict of interests.
MANAGING CONFLICTS OF INTEREST. 25.1 The Parties shall comply with the agreed principles for identifying and managing conflicts of interest via adherence to their own policies ensuring they meet the NHS England Managing Conflicts of Interest Statutory Guidance.
