September 2021

To our stakeholders:

I am pleased to confirm that Connor Broadley Wealth Management reaffirms its support of the Ten Principles of the United Nations Global Compact in the areas of Human Rights, Labour, Environment and Anti-Corruption.

In this, our first annual Communication on Progress, we describe our actions to continually improve the integration of the Global Compact and its principles into our business strategy, culture and daily operations. We also commit to share this information with our stakeholders using our primary channels of communication.

With best wishes,

James Connor
CEO, Connor Broadley Limited

Connor Broadley Wealth Management supports and respects the protection of internationally proclaimed human rights including the Universal Declaration of Human Rights and the European Convention on Human Rights which is incorporated in UK law by the Human Rights Act 1998, and other related UK legislation such as the UK Modern Slavery Act 2015.

As a Chartered Insurance Institute (CII) corporate chartered firm, we are committed to adhere to the CII's code of ethics which sets out principles that ensure we maintain high standards of integrity, probity and ethical fair dealing. These commitments are incorporated into our culture, our core values and our policies and procedures.

When working with suppliers and other third parties, we seek relationships with organisations that are aligned to our culture and who share our core values and commitment to human rights, this forms part of our supplier due diligence and ongoing risk management processes.

Connor Broadley is committed to ensuring the health, safety, and wider wellbeing of our staff. This is demonstrated by our health and safety policy and our wider HR policy set. We have established an employee led wellbeing group whose objectives include raising awareness of physical and mental wellbeing and identifying initiatives to monitor and improve wellbeing across the team. In addition to our trained conventional first aiders, we have a number of trained mental health first aiders. Our team complete mandatory health and safety training on an annual basis. Throughout the ongoing covid pandemic, we have taken additional steps to minimise the risk to our employees, for example by adopting remote working practices, and have adhered to government guidance throughout.

Our employees are encouraged to share their opinions on the company's activities and their views are a key input to both day-to-day operations and longer-term business planning. Forums for this include regular staff events, team meetings and one to one meetings with managers. We are committed to the ongoing personal and professional development of our people. Each member of the team has a personal development plan. Career progression is supported, and internal promotion encouraged.

Our commitment to observing the highest standards of ethical behaviour is incorporated into our core values, and our diversity, equality and equal opportunities policy.

We monitor and evaluate performance through our HR procedures, including our performance management and personal development frameworks, by undertaking staff surveys and by monitoring and reporting key HR metrics such as employee turnover, absence and demographics.

Connor Broadley Wealth Management upholds the principle of freedom of association and recognises the right to collective bargaining for employees. We are against all forms of forced and compulsory labour and support the abolition of child labour. We are committed to diversity, equality and equal opportunities, and the provision of a working environment that is fair, equal and free from all forms of discrimination and harassment. We expect all our suppliers and partners to share our commitment to upholding these principles.

Our commitment to principles in the area of labour are incorporated into our HR policies and procedures and our compliance with all relevant employment law. This includes our policies on health and safety, absence, discipline and grievance, our family leave policies and our remuneration and benefits framework.

Connor Broadley is an accredited Living Wage Employer which means we have made a formal commitment to pay those who work for us at least the real London Living Wage. This commitment includes people who work for us indirectly, such as our cleaning staff.

Consideration of the labour principles form part of our supplier selection and due diligence procedures.

Our commitment to the principles of diversity, equality and equal opportunities is formalised in a policy document which forms part of our core values and is embedded into our HR policies and procedures. We are against all forms of discrimination and act in compliance all relevant law, regulation and professional standards. This includes the UK Equality Act 2010, the CII's code of ethics and the FCA's principles for businesses.

We ensure that all recruitment and selection procedures are free from bias or discrimination. All our employment related policies, procedures and practices such as career development, promotion and access to training are designed to eliminate any forms of discrimination.

Adherence to our policies and procedures is monitored and reported on by our HR and Compliance functions.

Demographic information, including diversity factors, is monitored and reviewed by senior management.

Compliance with labour principles within our supply chain is monitored through our supplier management procedures.

Connor Broadley Wealth Management is committed to the UN's principles on the environment. We behave responsibly and seek to limit our impact on the environment. Environmental considerations form part of our decision-making processes at all levels of our business operations and supply chain.

Our employee led Corporate Social Responsibility (CSR) committee meets regularly and is mandated to promote environmental awareness, develop and implement our environmental policies and continuously seek to improve our performance on environmental factors.

We embrace the use of technology in reducing our environmental impact, including the reduction of printing and paper usage. We provide filtered water in the office to reduce plastic waste and work with our recycling partners to recycle waste wherever possible. We have reviewed all of our office supplies and where possible have swapped these for more sustainable alternatives.

We utilise energy efficient lighting and have a policy of sourcing energy efficient appliances and equipment. All of the energy for our office comes from 100% renewable sources like wind, solar and hydroelectric.

We promote environmentally friendly commuting and provide a cycle to work scheme for employees.

Our company pension scheme has a default investment option which is designed to incorporate ethical and environmental, social and governance (ESG) considerations. Through our progressive investment proposition, we have a track record in offering socially responsible investment options to our clients.

We monitor and report on our recycling levels and power usage to check compliance and identify new ways to improve environmental performance.

Adherence to our policies on responsible consumption are monitored by management and through our supplier management processes.

Oversight of our wider environmental framework is provided by our CSR committee and performance is shared with senior management.

As a UK regulated financial services firm, Connor Broadley Wealth Management acts always in strict compliance with anti-corruption laws and regulations, both in our own business operations and our supply chain. Our zero tolerance for corruption, bribery and extortion is incorporated into our policies and procedures at all levels.

Our staff maintain a high degree of awareness around anti-corruption and receive regular training.

On joining Connor Broadley, all employees receive training on anti-bribery and anti-corruption as part of a comprehensive induction programme. This is reinforced through regular on the job training and mandatory annual online training courses.

UK law and financial services regulations in respect of anti-corruption are embedded in policies, systems and controls including, for example, our policies on anti-money laundering, anti-fraud, conflicts of interest, gifts and hospitality, sanctions, and politically exposed persons. Roles and responsibilities for anti-corruption are clearly defined and understood.

Adherence to anti-corruption policies, systems and controls is a key element of our risk management processes and our compliance monitoring plan which is overseen by our Head of Compliance. Checks and balances are built into our processes along with regular internal audits, monitoring and reporting to senior management.