Code of Business Conduct
As part of our compliance with local laws, rules and regulations, we have devised a set of guidelines to ensure that the Guiding Principles of the Code of Business Conduct are enforced and become a part of SWAN Capital Solutions identity.
Skill, Care and Diligence
Act with due skill, care and diligence towards our customers and stakeholders.
Business Integrity
Observe high standards of honesty, integrity and fairness and ensure that all business transactions are carried out and recorded fairly and accurately.
Conflict of Interest
Avoid situations of conflict of interest, and in case a conflict arises, ensure the fair treatment of all our customers.
Communicating with Customers
Seek the necessary information about customers’ individual circumstances and financial objectives. Ensure that customers are provided with accurate, timely and comprehensible information that will enable them to make informed decisions.
Protection of Customer’s Assets
Ensure that, in cases where we have control over our clients’ assets, these are, at all times, properly segregated and identifiable.
Compliance
Observe high standards of market conduct and comply with all regulatory requirements applicable to the running of our business activities so as to promote the best interests of customers and the integrity of the market.
Financial Resources
Ensure the maintenance, at all times, of adequate financial resources to meet financial obligations and guarantee the implementation of appropriate risk management policies in the business.
Internal Affairs
Manage business in a responsible and sustainable manner while ensuring that adequate controls are maintained.
Ensure that, at all times, proper systems and procedures are in place with respect to operations, record keeping, human resources, training, compliance as well as such other matters as the Financial Services Commission may deem necessary.
Relationship with the FSC Mauritius
As licensees, we must deal with the Financial Services Commission in a co-operative manner and comply with their disclosure obligations promptly.