Compliance
Roban Financial is regulated by the Central Bank.
We believe in the need for strong adherence to compliance codes and professional business standards. Therefore implementation of such standards results in a best practice culture within the firm which influences all of our daily activities and interaction with clients, banks, financial services companies and of course our Regulatory Authorities. Compliance is an ongoing issue constantly monitored as high priority within the firm.
The Directors and Staff of the company adhere strictly to many regulatory principles that shape how business is conducted and how information is used.
A very strong culture of obtaining appropriate professional qualifications approved by the Central Bank and our industry is promoted within the firm. This assists with the provision of delivering better customer advice, in a structured way to our customers.
Before engaging in any business activity on behalf of a client, a client is fully briefed on our terms of business. The document is comprehensive and covers
- the necessary regulatory disclosures to include details of all agencies held
- conflicts of interest
- our complaints procedure
- consumer protection
- the consumer protection code.
At Roban Financial we believe in customer service, professionalism and choice. We value your business.
Myles A. Roban
Managing Director
