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Compliance form

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As Best Broker Awards diversifies its business lines and continually expands its products and services in an ever-changing complex legislative environment, heightened vigilance is required in terms of compliance regarding our business activities and operations.

The Compliance Department carries out this task by ensuring that the principles of loyalty, integrity and honesty are respected in the relations between BBA entities and their clients and suppliers as a pledge of confidence and security.

As such, the Compliance Department, as an integral part of the internal control mechanism, implements the measures required to manage non-compliance risks at the BBA level.

IThe BBA compliance policy prioritises combating internal and external fraud, corruption, money laundering and terrorist financing, and ensures the respect of embargos, the detection of market abuse and alerting regulators, while preventing conflicts of interest and ensuring that investors’ interests are respected.

The Compliance Department also ensures that rules governing professional conduct standards and personal ethics are applied by employees through the sharing of key values such as integrity, discipline and a sense of service, both individually and collectively. The code of conduct applied within BBA entities also contributes towards the prevention of conflicts of interest.

All BBA personnel (directors, managers and employees) must respect compliance regulations. Our compliance commitments are governed by specific directives and procedures. Staff and corporate officers attend regular refresher training courses covering these obligations, which are organised and monitored by the Compliance Department.

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