Code of Ethics

Explore our expertise in code of ethics functions to eliminate any potential compliance violation

CONNECT WITH AN EXPERT

In order to follow the five codes of ethics, integrity, objectivity, professional competence, confidentiality and professional behaviour, every firm needs to adopt these principles by having policies and procedures in place and a team monitoring the whole process. A well implemented code of ethics programme assists organisations in mitigating the risk of ethical misconduct and demonstrating their commitment to sustainable ethical standards.

We, at Acuity Knowledge Partners, have experienced subject matter experts, who provide an extensive array of solutions pertaining to code of ethics monitoring. We perform continued risk assessments to ensure the risk impacts related to trade, conflicts and corruptions are minimised.

We provide personalised services and expertise to help firms meet their specific needs. Our services include:

Conflict of interest management on personal and organisational levels

Pre-approval and post review of employees’ personal trades

Establishment of a diligence and approval process to ensure that anti-bribery policy is followed

Compliance certifications and code of ethics trainings

Regulatory reporting for various business lines

Details of Code of Ethics

Conflict of interest

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Conflict of interest

  • Outside business interests

  • Conflicts register (annual)

  • Chaperoning

Personal account trading

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Personal account trading

  • Evaluation of trade patterns and exceptions for better assessment

  • Transfer reports

  • Restricted trading list

  • Initial public offering conflict check

  • Wall-cross list

Anti-bribery and corruption

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Anti-bribery and corruption

  • Third-party due diligence

  • Gift and entertainment pre-approval and post-event review

  • Political contribution review

  • Sponsorships

Training and certifications

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Training and certifications

  • Assigning and ensuring timely completion of compliance certifications

  • Conducting trainings for employees on various code of ethics requirements

  • Providing employee assistance through query management

  • Monitoring of registrations/licensing

Regulatory reporting

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Regulatory reporting

  • Assessment of regulatory risk profile

  • Determination of the impact of new regulations

  • Resourcing data from various business lines

  • Filing data on a timely basis

Learn how we supported a global asset manager in implementation of personal trading controls

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Learn how we supported a global asset manager in implementation of personal trading controls

    Client challeng

  • Bandwidth issues in implementing personal trade monitoring support

  • Lack of trained resources and internal policy control

    Solution and value delivered

  • Fixing data load errors

  • Coding broker confirms, statement receipt and holdings check

  • Addition of e-feeds for the new accounts

  • Initiate preclearance process for Code of Ethics’ daily

  • Review pending preclearance requests

  • Set up a streamlined screening process to review all trades

  • Reviewed 100% personal share trading transactions compared with ~40% earlier and started managing the whole process within 3 months of the start of the engagement