Legal Framework
Uni-Markets is ‘Powered by ClickTrades’. Uni-Markets is an official partner of ClickTrades. www.clicktrades.com is owned by KW Investments Ltd (the “Company”) an investment firm authorized by the Financial Services Authority (“FSA”) of Seychelles with license number SD020/17. In accordance with the Securities Act 2007, the Company must establish, implement and maintain a Conflict of Interest Policy and make sure it provides all the necessary information on how conflicts of interest are managed internally and externally, meaning conflicts that can involve managers, employees, tied agents and other relevant persons, including third-parties linked to the Company by control directly or indirectly. The Conflict of Interest Policy also regards the conflicts between the Company and its clients or between a client and another that may arise when providing investment and ancillary services.
Purpose
The purpose of this Policy is to specify in writing the procedures established by KW Investments Ltd (the “Company”), in accordance with the size, organization, nature and complexity of the Company’s business for the identification and responsible management and control and, where necessary, disclose the conflicts of interests arising in relation to its business and to reduce the risk of client disadvantage and/or legal liability, regulatory censure or damage to the Company’s commercial interests and reputation.
Another scope of the Conflict of Interest Policy is ensuring that the Company is compliant with the legislative requirements it must abide to and with the internal procedures, whether departmental or general, that are established in its Internal Procedures Manual.
Policy
Adequate policies and measures have been established by the Company to prevent, control and manage the exchange of information between relevant persons engaged in activities involving a conflict of interest risk.
How Do We Manage Conflicts of Interest
a. Description
Conflicts of interests include those situations where the Company or a person is in the position that exploits in some way a professional or official capacity to obtain a benefit, whether corporate or personal.
Conflicts of interest can occur in the following situations:
A relevant person in relation to the Company can be:
When conflict of interest occurs, the parties that are affected may be the Company, its employees and its clients.
To be more specific, a conflict of interest can arise between:
Conflicts of interest can arise in situations such as:
b. Independence
The Company has adopted the following measures to ensure a degree of independence
c. The Senior Management of the Company Must:
d. Chinese Walls
The Company has developed Chinese Walls that comply with legal requirements between the departments.
Clear lines of responsibility have been established to avoid that information held by a person when carrying out his / her responsibilities isn’t used in an improper manner.
Furthermore, the Company has established physical barriers in order that the flow information remains between employees. In the course of carrying out parts of business by employees, access has been limited regarding information, documentation and communication according to each employee’s attributions.
e. Conflict of Interest Disclosure
When the measures the Company takes to manage conflicts of interest are not sufficient to prevent the risk of damaging the clients’ interests, the Company will disclose the conflicts of interest to the client for the prevention of risk damage regarding clients’ interests. Before a transaction is carried out or an investment or ancillary service is provided to a client, the Company has the obligation to disclose any potential or actual conflict of interest, and the disclosure must happen in a timely manner.
f. Reporting Conflicts of Interest
When a possible conflict of interest is identified, the employee who identified it must contact immediately his supervisor to assist him in the assessment of the risk and send a filled-out Notification Form with all details, including:
g. Marketing Communication
The Company must make sure that any recommendation that has been made has a clear and prominent statement. These communications must be prepared according to legal requirements.
Record Keeping
According with FSA requirements, the Company must maintain records, which are constantly monitored and updated, related to the investment services and ancillary services that have been carried out by the Company or on its behalf and which carry a risk of conflict of interest.
Any conflict of interest that shall arise must be reported to the Company’s CEO and Compliance Officer, who must keep records of conflicts of interest.
Trade with financial thinking
Unit 42057 Ground Floor
30 Bloomsbury Street, WC1B 3QJ
London, United Kingdom
Поддержка
Предупреждение о рисках
UNI Markets» является официальным маркетинговым партнером ClickTrades. ClickTrades.com является веб-сайтом, управляемым компанией KW Investments Limited, которая уполномочена и регулируется Управлением финансовых услуг Сейшельских островов, номер лицензии SD020. Продолжая регистрацию, вы будете направлены в KW Investments Ltd. Принимая Положения и условия, вы заключаете соглашение с KW Investments Limited. Пополнение вашего торгового счета происходит на сайте, управляемом KW Investments Limited — ClickTrades.com
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