TREATING CUSTOMERS FAIRLY (TCF) POLICY

Walker Crips Group is committed to act in the best interest of our customers at all times. “Giving Customers A Fair Deal” underlies the services we provide.

In our dealings with you, we endeavour to:

• treat you fairly and assure you that fair treatment of our customers is embedded in our corporate culture
• place your interests first
• be open and transparent
• communicate clearly
• notify you of our charges in advance
• handle complaints promptly and fairly
• ensure our staff are adequately trained

Supporting Policies

These additional policies bolster our commitment to TCF:

• Order Execution
  • to obtain the best possible result on behalf of our clients when executing orders or receiving and transmitting orders for execution.
• Conflicts of Interest
  • sets out our practices surrounding investment research.
• Data Protection
  • the proper custody of sensitive client data.
• Personal Account Dealing
  • the monitoring of personal dealing by Account Executives and staff to reduce the risk of conflict of interest with clients.
• Gifts and Inducements
  • the observance of protocol on giving or accepting gifts, ensuring there is no conflict with duties owed by the Company.
• Chinese Walls
  • adequate segregation of duties and functions between business units where segregation is required.
• Client Complaints
  • responding and dealing with client complaints promptly and fairly.

Compliance Arrangements

• Our Compliance Team is experienced and members are suitably qualified.
• The Team manages a robust Compliance Monitoring Programme.
• Checks are carried out regularly to ensure that all Policies, as listed above, are achieved and are being conformed to.
• The Compliance function reports to the Board of Directors, findings and reports submitted within the Board Management Information Pack.