Governance Policy Overview
Our governance framework sets out the principles, structures, and processes through which Invinitive Financial UK Ltd is directed and controlled.
Download Governance Policy
View our complete Corporate Governance Policy which details our commitment to robust accountability, ethical conduct, and regulatory compliance.
Download PDFKey Areas Covered
Governance Structure
Clear governance framework with defined Board responsibilities and Senior Management arrangements aligned with FCA SM&CR requirements.
Risk Management
Robust risk management framework with embedded controls, risk registers, and regular effectiveness reviews.
Compliance & Regulatory
Comprehensive compliance monitoring aligned with FCA obligations including CASS, SYSC, DISP, and Consumer Duty.
Conflict Management
Systematic identification and management of conflicts of interest with a maintained register and oversight procedures.
Consumer Duty
Full integration of FCA Consumer Duty with Board accountability for retail customer outcomes and vulnerability considerations.
Operational Resilience
Business Continuity Plan with mapped critical services, defined impact tolerances, and regularly tested disruption scenarios.
Regulatory Framework
Our governance policy aligns with Financial Conduct Authority (FCA) expectations, including:
- •Senior Managers and Certification Regime (SM&CR)
- •SYSC (Senior Management Arrangements, Systems and Controls)
- •Consumer Duty requirements
- •FCA Principles for Businesses
Culture, Conduct & Whistleblowing
Invinitive promotes a culture of honesty, integrity, and accountability. All staff are expected to uphold the highest standards of ethical behaviour and comply with FCA Conduct Rules. We operate a Whistleblowing Policy that enables staff to report concerns confidentially and without fear of reprisal.
This policy is reviewed annually by the Board and updated to reflect changes in regulation, business operations, or governance best practices.
Version 3.0 - April 2025