Conflicts of Interest Policy
1. Objective
Montrock seeks to identify, prevent or manage conflicts so that they do not improperly damage client interests or market integrity.
2. Examples
Conflicts may arise where:
- the Company or an affiliate acts as principal;
- compensation arrangements could influence behaviour;
- the Company has a financial interest in a service provider or counterparty;
- employees conduct personal trading;
- different clients have competing interests;
- confidential information could be misused;
- a payment agent, introducer or other partner receives remuneration linked to activity.
3. Controls
Controls may include segregation of duties, restricted lists, information barriers, personal-account dealing rules, remuneration controls, independent oversight, best-execution controls, fair allocation, gifts/hospitality controls and disclosure.
4. Disclosure
Disclosure is a measure of last resort where organisational arrangements are not sufficient to prevent a material risk of harm. Disclosure should be specific enough to allow an informed decision and should not be used as a substitute for effective management.
5. Declining Business
Where a conflict cannot be managed to an acceptable standard, the Company may decline or cease the relevant activity.
6. Records
Material conflicts and mitigating actions are recorded and reviewed by Compliance.
Contact and Regulatory Information
Montrock Ltd is incorporated in Mauritius under Company No. 231276 GBC and is regulated by the Financial Services Commission, Mauritius (FSC) as an Investment Dealer (Full Service Dealer, Excluding Underwriting), FSC Licence No. GB25205688. Registered office: Suite 201, Level 2, The Catalyst, 40 Silicon Avenue, Cybercity, Ebene 72201, Mauritius.
Compliance enquiries: compliance@mont-rock.com
Website: https://mont-rock.com
Risk warning: Transactions in financial instruments, particularly leveraged or derivative instruments where offered, involve significant risk and may result in substantial loss. Nothing on the website constitutes a guarantee of profit or investment performance.