CONFLICTS OF INTEREST
The regulation of the conflict of interest policy (hereinafter referred to as the Policy) is to ensure the legality of the activity, as well as of the compliance with all norms and procedures aimed at resolving any conflicts of interest between the Company and its Clients..
The Company undertakes to apply such processes that would allow building adequate relationships between the company representatives, its managers, employees, and other persons who are directly or indirectly connected with the Company on one hand and all the customers on the other hand in a way to resolve all possible conflicts that may arise in the course of rendering Investment and other services.
Identification of Conflicts
Leveraqe Capital Markets Limited will take reasonable steps in identifying, preventing and/or managing conflicts arising in relation to various areas of our business. We will identify conflicts where Leveraqe Capital Markets Limited :
- Partakes in an interest in the outcome of a service provided to a client, or a transaction carried out on behalf of clients, which may be distinct from the client’s interest in that outcome.
- Make a financial gain or avoid a financial loss, at the expense of a client.
- Carry on the same business as a client, and;
- Accept from a person an inducement in relation to a service provided to a client in the form of monies, goods or services, supplementary to the standard commission or fee paid by the client for the given service.
- In the event we identify an actual or potential conflict of interest, we could take the following steps:
- We may decline to act where there is a possible conflict or cease engaging in the activity leading to the conflict.
- We may accept the conflict of interest, however we will take steps to protect your interests; or
- We could disclose the conflict of interest, and/or obtain your consent to act
Leveraqe Capital Markets Limited has in place procedures, which are designed to identify and manage conflicts of interests. These consist of a number of organisational and administrative arrangements to protect the interests of clients and minimise the potential for conflicts to arise. Additionally, Leveraqe Capital Markets Limited implements a number of methods to manage conflicts of interest and control the movement of confidential information. The following is a non-exhaustive list on how Leveraqe Capital Markets Limited manages and prevents conflicts:
- Segregation of duties and supervision of persons engaged in different business activities, which includes procedures for ensuring appropriate communication between different business units.
- The requirement for all external directorships and outside business interests to be declared
- Gifts and personal benefits procedures, including a gift register; which documents the solicitation, offering or receipt of certain benefits.
- Procedures to ensure that improper inducements are not given or received and suitable inducements are disclosed appropriately, and;
- Personal account dealing restrictions are applicable to all staff and their associates, regardless of position.
In the event Leveraqe Capital Markets Limited considers, with reasonable confidence, that the current measures to manage potential and/or actual conflicts of interest are not sufficient to avoid material risk of damage to a client’s interest, Leveraqe Capital Markets Limited will disclose the overall nature and/or causes of the conflict of interest to the client before undertaking any business.
For further information on Leveraqe Capital Markets Limited conflicts policy, please contact on firstname.lastname@example.org or alternatively please contact our support team on: +442 038-078-670