Our Code of Ethics and Standards of Care

 

 

  

OUR CODE OF ETHICS            STANDARD OF CARE

Code of Ethics

 

All financial planning services will be delivered in accordance with the following standard of care:

 

Principle 1        Integrity

Provide professional services with integrity.

 

Principle 2         Objectivity

Provide professional services objectively.

 

Principle 3          Competence

Maintain the knowledge and skill necessary to provide professional services competently.

 

Principle 4           Fairness

Be fair and reasonable in all professional relationships. Disclose conflicts of interest.

 

Principle 5          Confidentiality

Protect the confidentiality of all client information.

 

Principle 6         Professionalism

Act in a manner that demonstrates exemplary professional conduct.

 

Principle 7                 Diligence

Provide professional services diligently. 

 

 

 

 

Standard of Care

 

All financial planning services will be delivered in accordance with the following standard of care:

 

Principle 1

Put the client's best interests first.

 

Principle 2

Act with due care and in utmost good faith.

 

Principle 3

Do not mislead clients.

 

Principle 4

Provide full and fair disclosure of all material facts.

 

Principle 5

Disclose and fairly manage all material conflicts of interest.