As an Investment Dealer regulated by FSC, Ellipsys has established compliance procedures which ensure that in all dealings with or on behalf of clients, each employee understands and is required to comply with the rules of the regulator and the compliance policy and procedures.
Confidentiality and customer anonymity are essential for preserving a reputable and efficient market place. Ellipsys preserves confidentiality in all matters including information on customers and dealing counterparties coming to their knowledge in the performance of their duties. They share an equal responsibility for preserving the integrity of the market through the proper maintenance of confidentiality.
Ellipsys endeavors to ensure that staff have been trained to identify and to treat information that is sensitive and to deal appropriately with situations that require anonymity and discretion.
Employees are not permitted to accept expensive gifts or favours by clients or business associates or people related to. The solicitation of corporate gifts, other than for charitable purposes, is also discouraged.
Ellipsys Employees are required to use clear and unambiguous language when dealing or negotiating transactions.
It is important to maintain a consistently high level of awareness and understanding of market practices and conduct among employees so as to reinforce the foundation for strengthening overall professional standards of the dealing community.
In a rapidly evolving environment, staff are required ensure that their professional knowledge is competently maintained so that the interests of the customers are protected and the reputation of the markets preserved.