UK BUSINESS ADVISORS LIMITED

CODE OF ETHICS

Members of UK Business Advisors Limited (UKBA), including members of the Regional
Groups and themed groups as published from time to time, at all times:

1. Shall uphold the reputation of UKBA and of fellow members and abide by the
UKBA Code of Conduct;

2. Shall carry out their professional duties responsibly and with integrity;

3. Shall undertake all business in a manner which will merit the respect of the
business community;

4. Shall provide the optimum level of service and advice to clients drawing on their
personal knowledge and expertise;

5. Shall not personally provide advice outside of their accepted area of expertise
but rather shall delegate this work to appropriate specialists within the UKBA
membership, or if that is not available, to other specialists where the member has
confidence that this specialist can provide the valued advice that would be
expected from a UKBA member;

6. Shall not allow personal views to influence judgement, interpretation, analysis
and presentation and shall collect and present facts in a professional and
balanced manner;

7. Shall not discuss with or disclose to any person not authorised by the client or
delegated representative any information, data, result, report or proposal arising
from the assignment, nor cause or allow confidential information to be misused or
to be published in anyway without the permission of the client save as required in
law;
8. Shall not advise a client where the member has a conflict of interest with the
business of another client or the member’s personal interests save where the
clients have given their expressed consent;

9. Shall not use information acquired during any assignment which in any way could
be detrimental to their other clients;

10. Shall not receive any undisclosed material benefits or payments other than
normal emoluments in the normal course of business.

Author: Phil Stanyer
Date: 12th September 2013


UK BUSINESS ADVISORS LIMITED
CODE OF CONDUCT

1. Introduction

UK Business Advisors Limited (UKBA) has a duty to protect the interests of the
company, the Regional Groups and the themed groups as published from time to time,
the members of these businesses and their fellow members.

2. UK Business Advisors

UKBA, through its Regional Groups, themed groups and members, (UKBA group)
provides high quality business advice services to its clients who are often, but not
exclusively, small and medium sized businesses in order to optimise the objectives of
these clients or, in the case of failing businesses, to protect the value of the client’s
assets.

3. The status of members

Only individuals can become members of UKBA and the method by which individuals
become members will be determined by members from time to time either in general
meeting or by any other method agreed by the membership. Membership of UKBA,
Regional Groups or themed groups does not confer the status of Shareholder on an
individual but that does not prevent the Shareholders of UKBA, the Regional Groups or
themed groups from being members of these organisations.
Members will be allocated to one or more of the groups based on the location of their
business base or their core skills. However, membership will only be granted to an
individual when they are able to demonstrate the highest skills level and their ability to
add value to the allocated group.
Members may at their own discretion conduct their trading activities through a limited
company, a limited liability partnership, a partnership or as a sole trader but none of
these may be considered as members of UKBA.
Members are not employees of UKBA group and no rights under employment legislation,
as enacted from time to time, apply.

4. Entrance Fees, Annual Subscriptions and other fees

Entrance Fees, Annual Subscriptions and any other fees will be determined from time to
time by the members and payment must be made by the due date.

5. UKBA name and logo

The term UKBA and the names of the regional and themed groups and their logos are
protected by copyright and trademark registration. Computer domain names remain the
property of UKBA at all times.
Members may use the UKBA name and logo and that of the regional or themed group to
which they are allocated in the ordinary course of their business which includes but is
not limited to letterheads, business cards, printed literature, brochures, flyers,
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catalogues, websites, email signatures, telephone scripts, telephone voicemail and
answering machine messages.
All promotional literature whether printed or in an electronic form must conform to the
UKBA standard format as agreed from time to time.

6. Working with UKBA and Competing Businesses

Members are expected to devote a significant part of their working time to further the
work of UKBA, the regional and themed groups and to work with fellow members to
achieve this objective.
Recognising that all members of UKBA must have achieved the highest level of
expertise in their specialised area of work in order to become members, where a
member needs specialist advice to support the member’s work with a client, the member
should consider the resources already available in the member’s own regional or themed
group and the resources available elsewhere in UKBA before considering engaging
specialist advice from other sources.
Members are expected to actively work within their own region or themed group to
promote UKBA group activities and, in particular, to help develop the skills of new
members so that a robust succession plan can be maintained. UKBA organises
national conferences and members are expected to participate in these events wherever
possible in furtherance of the UKBA’s objectives.
Members are expected to promote the activities of UKBA, the regional and themed
groups with their business contacts in order to enhance the brand image and awareness
of the UKBA group.
From time to time, members may have access to data in common use by other members
(e.g. Constant Contact). The member is entrusted that he/she will not change any data
which has been established by another member.
Members have the right to join other organisations but they are reminded of their duty to
protect the personal data of other members and the intellectual property of UKBA group
which may be of commercial or other value to the other organisations. Members must
take all reasonable action to ensure that if they are a member of a competing business,
their names are not used by the competing business for the purpose of enrolling new
members in the competing business.

7. Insurance and Legal Compliance

Members must hold Professional Indemnity Insurance to a level appropriate to their
activity, at the member’s own cost.
Members are expected to comply with all legal and statutory requirements and obtain
and maintain any licences necessary for the conduct of their business.

8. Continuous Professional Development (CPD)

Members are expected to undertake regular CPD in order to maintain and enhance their
knowledge and understanding of legislation and best practice. Such CPD may be
undertaken alongside the requirements of any professional bodies to which the member
belongs, or through any other appropriate organisation including UKBA.
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9. UKBA Email

New members will be allocated an email address in the format
firstname.familyname@xxba.co.uk which the member must use in all email business
correspondence both internally and with contacts outside UKBA. Members must also
ensure they use an approved electronic email signature when sending emails to external
contacts.
In addition, all members will be included in a circulation list for all members of their
regional or themed group and another circulation list for all members of UKBA
(all@ukba.co.uk ).
For the avoidance of doubt, the use of the UKBA Email facility for the sending of
unsolicited emails to a large number of people to promote products or services including
but not limited to sexually explicit material, pornography and/or inappropriate
promotional or commercial matter will be considered as being in breach of this Code of
Conduct and UKBA reserves the right to immediately suspend or withdraw the use of the
UKBA Email facility to that member.
The UKBA Email system server should not be considered as permanent or secure
storage of email messages and members shall ensure that all email messages are
downloaded or separately stored on their own computer equipment. Whilst UKBA will
make all reasonable efforts to ensure that data is secure, in the event of equipment or
service failure UKBA cannot be held responsible for any losses incurred by the member.
The ‘all@ukba’ email facility acts as a Mass Email system for members to promote their
needs and opportunities to other members, for offering or seeking sub-contracting
opportunities, and as a helpline. It is a condition of using this facility that all members
must:
a) treat any message sent to or received from other members as confidential and
undertake not to disclose any information received from another member to any
third party whatsoever without the prior written approval of the member who sent
the message;
b) under no circumstances send any Mass Email encouraging all recipients to
forward the email to everybody in their address book;
c) not air any grievance against any other individual(s) or the UKBA;
d) not send any promotion which constitutes Multi Level Marketing;
e) not distribute any email virus warning until first checking its authenticity with the
UKBA Webmaster.

10. Computer Viruses

UKBA will make reasonable endeavours to protect the UKBA Email system with
computer virus protection but expects that every member has up to date anti-virus
software protection installed on personal computers used for sending and receiving
UKBA Emails. The UKBA Webmaster has the right to require any member to provide
evidence of the existence of such anti-virus software.
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11. Data Protection

All members join on the understanding that their personal information remains
confidential and will not be passed to third parties for marketing or any other purposes.
Each member has access to personal data of other members and as such is in a
position of trust not to misuse that information or disclose such information without the
written agreement of the other member.

12. Termination of Membership

Membership will be withdrawn or suspended when the member commits a breach of the
UKBA’s Code of Ethics or Code of Conduct. The alleged breach of a Code and the
member’s submission will be reviewed normally by the members of the Regional or
themed group and a decision made on the facts presented. If the member wishes to
lodge an appeal against this decision, the Regional or themed group will arrange for
member(s) of another group to hear the appeal. The decision of the appeal hearing will
be final.
On termination of membership however caused, the member shall not represent
himself/herself as a member of the UKBA group and shall immediately cease to have the
benefit of all the rights and privileges of membership and he/she shall continue
indefinitely to refrain from airing any grievance against any other member(s) or the
UKBA.

Author: Phil Stanyer
Date: 12th September 2013