Company Policies
In December 2025 we took the decision to publish here all of our intenal policies in order to help guide etc our partners (Buyers, Sellers and Brokers). Inevitably this will take a little time to prepare them in a suitable format so please bear with us.
If you see a ‘coming soon’ policy that you would like, please drop us a note to grc@finovatrading.com and we will happily send you what we have.
- FIN-POL-001 – Risk Management Policy
- FIN-POL-002 – Compliance Framework
- FIN-POL-003 – Anti-Money Laundering & Counter-Terrorist Financing Policy
- FIN-POL-004 – Sanctions Compliance Policy
- FIN-POL-005 – Proceeds of Crime Policy
- FIN-POL-006 – Fraud Prevention Policy
- FIN-POL-007 – Code of Conduct
- FIN-POL-008 – Business Ethics Policy
- FIN-POL-009 – Conflicts of Interest Policy
- FIN-POL-010 – Gifts, Hospitality & Anti-Bribery Policy
- FIN-POL-011 – Whistleblowing – Speak-Up Policy
- FIN-POL-012 – Information Security Policy
- FIN-POL-013 – Data Protection and Privacy Policy
- FIN-POL-014 – Records and Information Management Policy
- FIN-POL-015 – Business Continuity and Resilience Policy
- FIN-POL-016 – Third-Party and Partner Management Policy
- FIN-POL-017 – Engagement Acceptance and Refusal Policy
- FIN-POL-018 – Health, Safety and Environment Policy
- FIN-POL-019 – Modern Slavery and Human Trafficking Policy
- FIN-POL-020 – Diversity, Equity and Inclusion Policy
- FIN-POL-021 – Equal Opportunity and Anti-Harassment Policy
- FIN-POL-022 – Environmental Sustainability Policy
- FIN-POL-023 – Quality Policy
- FIN-POL-024 – Corporate Social Responsibility Policy
- FIN-POL-025 – Tax Evasion Prevention Policy
- FIN-POL-026 – Acceptable Use (IT and Communications) Policy
- FIN-POL-027 – Website Terms and Disclaimers Policy
Partner Documents
- Relevant Partner Documents will be published here soon, including:
- Broker Code of Conduct
Agreement Templates
- Relevant agreement templates will be published here soon, including:
- NCNDA
- IMFPA
- SFPA
- SPA
- SCO
- FCO
- Sell Mandate Appointment
- Buy Mandate Appointment
- Introducers Agreement
Knowledge Hub Publications
Finova Insights
Finova Guides
- We will publish our Guides here soon
Finova Explainers
- We will publish our Explainers here soon