CODE OF CONDUCT
Our code of conduct has been designed to maintain the highest level of ethical standards, support our values & purpose, and comply with internal and external laws and regulations.
1. Ethics
Our firm strives to lead with example, ensuring we as an institution abide by the laws and regulations sets an exemplary standard to our employees. We strive and ensure our community adopts our ethical standards as their guide to develop an honest, ethical, and winning mindset.
Setting our clients as our top priority we do not tolerate any breach of the Laws and Regulations, Code of Conduct and Ethics, nor our Core Values. We value our client’s trust in our mission and use it as a constant reminder to achieve exceptional results.
2. Compliance
Compliance with internal and external regulations is an integral part of our day-to-day business. Rigorous process is in place to make sure the FRA regulations are timely adopted. Adquate controls are designed to prevent/timely detect defeciencies.
3. Audit Committee
The Audit Committee comprises of five non-executive members who meet once per quarter or as needed to:
assist the Board in its oversight of (i) the integrity of the Company’s financial statements, (ii) the Company’s compliance with legal and regulatory requirements, (iii) the external auditors’ qualifications, independence and performance, (iv) the performance of the Company’s Internal Audit function and (v) the Company’s internal control over financial reporting; (vi) the safeguarding of the Company’s assets; (vii) the efficiency and effectiveness of operations; 2. recommend the appointment or termination of the Company’s external auditors and to pre-approve all audit, audit-related, tax and other services, if any, to be provided by the external auditors; recommend professional fees related to external auditors, audit related, tax and other services and 3. prepare the report required to be prepared by the Committee pursuant to the rules/decrees of the Financial Regulatory Authority (the “FRA”).
3. Risk Committee
The Risk Committee comprises of five non-executive members who meet at least once per quarter to
Assist the Board in its oversight of the Company’s overall risk-taking tolerance and management of strategic, financial, compliance, operational risks, including market, credit and liquidity risks. Risk assessment and risk management are the responsibility of the Company’s management. The Committee’s responsibility is one of oversight and review.