Fair Dealing Commitment

Our corporate culture and company practices are aligned to our core values which emphasise that all professional services we provide are transparent and fair.

We communicate to our employees and financial consultants that fair dealing is a priority for our company and we constantly review our strategy and policies to achieve the fair dealing outcomes.

We are committed to deliver the following fair dealing practices to you:

Ensure that a culture of fair dealing is central to our corporate culture.

We align our company’s policies and practices to the fair dealing principles and embark on processes that ensure our business conduct practices achieve fair dealing outcomes for our customers. We also set fair dealing targets within our business performance scorecard for our employees and financial consultants to encourage the achievement of fair dealing outcomes.

Provide products and services that are suitable for each consumer.

We conduct due diligence on all products that we distribute to understand their features and risk-reward characteristics; and to identify customer segments for which the products are suitable. We communicate to our financial consultants the target customer segments, key features and risk-reward characteristics of each investment product and the service it offers. This allows our financial consultants to provide quality advice and make appropriate recommendations to the customers.

Have well-trained and competent financial consultants possessing the knowledge and skills to provide quality advice.

We ensure our financial consultants undergo structured and continuous training so that they are equipped with relevant skills and knowledge to offer professional service and quality advice to our customers.

Ensure that customers have access to the right information in a timely manner so that they can make informed decisions.

We disclose information fully and clearly to our customers so that they are in the best position to make informed decisions. We believe the information that we provide to our customers, whether written or verbal, are presented in a fair and balanced way.

Ensure that complaints are handled in a respectful, effective and prompt manner.

We take our customers’ feedback/complaints seriously and we strive to address their concerns promptly and fairly. We have established a formalised complaint handling process to ensure that complaints are handled independently and effectively.

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