Conflict of Interest Policy

Introduction

BN 80 of 2003 – General Code of Conduct for Authorised Financial Services Providers and Representatives (as amended) – at paragraph 3(1)(b) requires that when a provider renders a financial service, the provider and any representative must avoid and where this is not possible mitigate, any conflict of interest between the provider and a client or the representative and a client.

Purpose

This Policy seeks to regulate and control any prejudice to clients that could potentially arise as a consequence of conflicts of interest generally and in particular, as a consequence of non-cash incentives and benefits being offered by another provider, a product supplier or any other person to any person rendering financial services on behalf of the Capital Legacy Solutions.Conflicts of Interest will be managed so as to ensure that at all times financial services are rendered honestly, fairly, with due skill, care and diligence, and in the interests of clients and the integrity of the financial services industry.