Code of Ethics
We have created a Code of Ethics that governs the activity of all Staff at all levels from Senior Management, Sales Advisor, Administration, and Clerical Staff. Within our Code of Ethics are policies that specifically govern privacy, confidentiality of information and compliance. All staff is bound to the guidelines of this code and signs this agreement representing agreement and compliance with the Code.
- All responsible persons of our company will act honestly, and in good faith in every interaction with the client. All responsible persons and sales agents of our company will act with integrity, competence, and dignity and in an ethical manner when dealing with the public, clients, prospects, employers, employees and fellow professionals.
- Senior management, employees, and sales agents must comply with the fiduciary duty to all clients. They have the obligation to know and understand, and comply with securities legislation applicable to their duties and responsibilities in each Province business is conducted in.
- Sales agents must act for the benefit of their clients at all times and must always place the interests of their clients before their own.
- All sales agents will deal fairly and objectively with all clients and prospects when disseminating investment recommendations and upon taking any investment action.
- Our company and all personnel will preserve the confidentiality of information communicated by the client concerning matters within the scope of the confidential relationship unless it is instructed by law, or by court to make available for the purposes of any judicial or legal actions information regarding the client and their personal information.
- Our company is committed to maintaining the highest standards of service to our clients. All clients concerns are addressed in a thorough and comprehensive manner.
- Our company reviews on an annual basis its standards of professional conduct, underlying code of ethics and compliance procedures with all designated responsible persons. This review process ensures an open dialogue and on-going communication and training to address any changes to compliance procedures that may be rendered necessary based on the ever changing evolution of our financial markets.