Himaya Switzerland abides religiously by the directives of the Swiss Financial Market Authorities (FINMA) and the eleven principles for business of the UK Financial Conduct Authority and which are:
11
FCA
Principles
for Business
Management & Control
A firm must take reasonable care to organize and control its affairs responsibly and effectively, with adequate risk management systems
Customers’ Interests
A firm must pay due regard to the interests of its customers and treat them fairly
Customers: Relationships of Trust
A firm must take reasonable care to ensure the suitability of its advice and discretionary decisions for any customer who is entitled to rely upon its judgement
Integrity
A firm must conduct its business with integrity
Financial Prudence
A firm must maintain adequate financial resources
Communications with Clients
A firm must pay due regard to the information needs of its clients and communicate information to them in a way which is clear, fair and not misleading
Clients’ Assets
A firm must arrange adequate protection for clients’ assets when it is responsible for them
Skill, Care & Diligence
A firm must conduct its business with due skill, care and diligence
Market Conduct
A firm must observe proper standards of market conduct
Conflicts of Interest
A firm must manage conflicts of interest fairly, both between itself and its customers and between a customer and another client
Relations with Regulators
A firm must deal with its regulators in an open and cooperative way and must disclose to the appropriate regulator appropriately anything relating to the firm of which that regulator would reasonably expect notice
