Compliance & Risk Management:

For Legate Group Limited compliance is the adherence to legal and regulatory requirements, internal policies, ethical principles and self-imposed values and a code of conduct for the protection of the company, its clients and partners/agents.

The business can can only be sustainable and successful if it acts with integrity, complies with legal, statutory and regulatory provisions and adheres to its voluntary undertakings and ethical principles. Compliance must be second nature to all staff and partners/agents. The Code of Conduct is a basis for all decisions taken in the company and offers guidance for ethical conduct.

The company recognises that it has a responsibility to manage risks (both positive and negative) and supports a structured, systematic and focused approach to managing them by adopting a risk management strategy.

In this way the company will: –
‚ÄĘ Demonstrate effective corporate governance;
‚ÄĘ Better achieve its corporate objectives and;
‚ÄĘ Enhance the value of services it provides to its customers.

Key Policies

Access to our Key Policy documents are available via the links below:-

See our key policies

Code of Conduct

Legate Group’s code of conduct is based on the company’s senior management’s own personal principles and values and those expected of organisations that are regulated by the Financial Conduct Authority.

See our code of conduct


Legate Group strives for professionalism and quality in all of its services, acting with honesty and fairness whether you are a client or a customer of a client.

See complaints

Help & Advice

Should you be experiencing financial difficulties please do not ignore the problem ‚Äď you need to act now.

See help & advice

Get in touch

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