Conflicts of Interest Statement
At Count, we are committed to acting with integrity, transparency, and in the best interests of our clients at all times. We recognise that, as a regulated financial services firm, conflicts of interest can sometimes arise in the course of providing our services.
We have a robust Conflicts of Interest Policy in place, which is reviewed at least annually, and sets out the systems and controls we use to identify, manage, and where necessary, disclose any conflicts that could arise between:
- Count Finance (or its employees) and a client; or
- One client and another.
Examples of potential conflicts include:
- Financial relationships with fund managers or investment product providers
- Commission or fee arrangements that may influence our recommendations
- Related party transactions where Count Finance or its employees have a financial interest
- Personal account dealing by our staff
- Gift and entertainment relationships with third parties
Competing client interests where advice to one client may disadvantage anotherWhile it’s not always possible to eliminate all potential conflicts, we take proactive steps to prevent them from causing harm to our clients. These include:
- Staff training and conduct protocols
- Internal segregation of duties
- Controls around receiving or offering gifts and inducements
- Clear processes for disclosure and resolution
We maintain an internal log of conflicts that arise, listing how each conflict was monitored and any solution which was developed and applied to resolve the problem and to prevent the customer’s interests from being disadvantaged.
We operate under strict rules regarding inducements. We will clearly disclose any payments, commissions, or non-monetary benefits we receive from third parties in relation to services provided to you. We will only accept such payments where they enhance the quality of our service and do not impair our ability to act in your best interests.
Disclosure of Conflicts
We will disclose conflicts of interest before providing any related service or advice. If a conflict arises that we cannot manage effectively through our systems and controls, we will inform you immediately and clearly explain:
- The nature and source of the conflict
- The risks it could pose to your interests
- The steps we propose to take to manage it
- Your options for how to proceed
This disclosure will provide sufficient detail for you to make an informed decision about whether to continue with our service.
