Compliance

At WH Ireland we instil a culture of trust; we fully understand that regulatory rules and our resulting policies are only as good as the attitude of our staff to which they apply in their dealings with you our clients. Because of the diverse nature of our business we have a number of different Terms of Business; however our current Retail Client Terms of Business are here.

WH Ireland has invested heavily in its compliance team headed by Stephen Cooper.

In general the role of WH Ireland compliance is to encourage all business areas to move away from a reluctant acquiescence standpoint with regulatory compliance towards good practice and everything that this entails. This is what has taken place at WH Ireland in the last year. Compliance is woven into the business fabric of the firm.

Compliance issues are monitored on a daily basis and considered formally by management on a monthly basis. WH Ireland Limited management is fully and demonstrably engaged and delivers the requirements for a totally compliant firm on a top-down basis. The delivery of these rules and regulations are simply split into three sections:

• as they apply to clients of the firm,
• as they apply to employees and
• specialist areas of business or management focus.

Management policies focus on the firm's capital adequacy, conflicts of interest management and client assets.

Bottom-up information about the business returns to management in an appropriate fashion depending on the business area concerned. This information might be personal account dealing, Chinese wall crossing, client suitability information and other relevant information.

The Compliance Department is highly experienced, and includes the following staff:

• Stephen Cooper, 25 years, stockbroking (private client and institutional), private banking
• Caroline Partington, 15 years stockbroking