Preamble

Our business can be successful only if we put our customers at the heart of it.

Treating Customers Fairly is not only a regulatory obligation; it impacts every aspect of how we run ShareIn. This manual provides an overview of our policies and procedures, with an emphasis on how our compliance framework is constructed to address our clients' needs.

More specifically, the compliance manual supports our understanding of the FCA's principles-based approach, as well as the obligations set out in its various sourcebooks and financial services regulation. You will learn about the systems and controls we have in place to meet those obligations, as well as your role, which includes

  • Understanding our regulator and its expectations

  • Treating Customers Fairly

  • Understanding the product you are selling, and to whom it can be sold

  • Understanding and preventing Financial Crime and Money Laundering

  • Protecting personal data

  • Communicating with clients

  • Undertaking regular training, and remaining competent to do your job

  • Our governance framework, and systems and controls that sustain it

  • And ongoing monitoring and reporting

We will revise the manual from time to time to reflect changes in the rules and the regulatory environment. Each staff member at ShareIn and its Appointed Representatives must be familiar with the principles and obligations set out in this manual and adhere to the requirements. We are all charged with conducting our business within the spirit of the FCA's principles and detailed rules, and not just the letter of the law.

If there is anything here that you don't understand, any further guidance you require, or if you need signposting with respect to your specific role and responsibilities, please contact the Compliance team at compliance@sharein.com.