Good ethics involve judgments about what is right and what is wrong, which isn’t always clear-cut in the business world. Our code of ethics outlines our responsibilities to our clients, associates, business partners, vendors and the community.
In our capacity as Investment Advisor Representatives of SII, we have a fiduciary duty to you, our client. We must put your wellbeing first and avoid activities, interests and relationships that may run contrary to your own. We know it has taken years to build our good relationship and are careful not to let any negative action affect that. Below are the guidelines we follow for ourselves as well as our business partners.
CompetenceTo be competent, we must attain and maintain a level of knowledge and skill, then apply it effectively. Competence also includes the wisdom to recognize our limits and know when to seek additional resources to meet our clients’ needs.
No employee may solicit investments, quote pricing, provide investment information, provide investment advice, comment on investments or sell investments, without appropriate licenses, registrations and prior consent of management.
IntegrityWe are placed in a position of trust and confidence by our clients. The ultimate source of such trust is our personal integrity. We tell the truth, use good judgment and comply with securities’ laws and regulations.
ObjectivityObjectivity requires honesty and impartiality. It is our responsibility to make full and adequate disclosures of all facts, fees and relationships so clients can make informed decisions. Our discussions, communications and representations must have a clear purpose and honest and fair content.
ConfidentialityClient information is confidential and shall not be disclosed. This allows us to create a relationship of personal trust and confidence. It is each employee’s full responsibility to uphold client confidentiality to the highest standards at all times. No aspect of a client’s affairs, either personal or business, may be discussed outside of the office. We also will not disclose whether a particular person, firm or corporation is a client of our company unless authorized in advance.
DiligenceDiligence is the provision of services in a prompt and thorough manner. It is our responsibility to do what we say we’re going to do; promptly return e-mails and phone calls; follow up on outstanding issues; and meet deadlines.