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Our ethical broker policy

Ethex will act on your behalf to help you make the investments you choose.

Ethex has created an ethical broker policy based on four fundamental principles. The purpose of this policy is to set out the standards that we expect Ethex to live up to when helping our customers to buy or sell investments. The intention is to make Ethex fully accountable to our customers by explaining exactly what they can expect when we broker their shares.

1. Transparent, clear and full communication

We should be clear about the services we offer, why we offer them and how they work. We should make sure that these services are easy to understand and accessible. We should ensure that our investors are provided in a timely manner with all the information they need to make decisions. The information we present should be true, fair and not misleading.

2. Reasonable and affordable charges

We should only levy charges that our customers consider as reasonable and economic given the amounts they wish to invest, and that are based on the cost of the work, not on profit maximisation, as is appropriate for a not-for-profit broker.

3. Making sure that the investor is fully informed

We must ensure that the investor has fully appraised the investment and read all necessary materials. We need to be able to assess if the investor has the necessary knowledge and experience to understand the appropriateness of the investment for them, especially the risks. As an execution only service, we cannot and should not give advice.

4. Eliminating conflicts of interest

In the course of provision of the service, we need to consider any conflicts of interest that might arise, and make any person affected fully aware of the conflict before proceeding. We need to ensure that any conflict is handled in a just manner. If this is not possible, we should not proceed with provision of the service.

For more detail on the regulatory framework for brokerage see Our broker service.

For details of how we go about actually handling your orders, please see our Order Fulfilment Policy.

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