12 Questions
What is the purpose of Smartprofit Finder Ltd's conflicts of interest policy?
To prevent and manage conflicts of interest
Who does the conflicts of interest policy apply to?
All employees of the company
What is the purpose of information barriers in the policy?
To avoid conflicting interests among clients
What is the requirement for employees regarding acting in the best interests of clients?
They are required to act honestly and fairly in the best interests of clients
What does the company maintain a register of?
Conflicts of interest and mitigation measures
What is the requirement for outside business activities that may pose a conflict?
Prior approval is required for outside business activities that may pose a conflict
What is the requirement for compensation from third parties?
It is only accepted with client consent
What happens to conflicts of interest that are reported to the compliance department?
They are escalated if material
What is the role of the compliance department in relation to the conflicts of interest policy?
They monitor and review the implementation of the policy
How are potential conflicts of interest disclosed to clients?
They are disclosed in a general manner
What must employees disclose to clients regarding potential conflicts of interest?
A description of the conflict, the circumstances behind it, the risks for the client, and precautions taken by the company
What is considered inadmissible behavior according to the policy?
Restructuring client custody accounts without economic justification
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