Conflict of Interest Policy

  1. Employees must make full and fair disclosure of all matters that could reasonably be expected to impair their independence and objectivity, or interfere with their respective duties to clients, prospective clients and the employer. Employees must ensure that such disclosures are prominent, delivered in plain language and that the relevant information is communicated effectively.
  2. Where appropriate, employees must disclose any compensation, consideration or benefit received from, or paid to, others for the recommendation of products or services, to their employer, clients, and prospective clients.
  3. Employees shall immediately update changes to their personal contact information, including email address, telephone number(s) and physical address.
  4. Employees shall not engage in conduct that reflects adversely on the integrity of the employee, the employer, or the profession.
  5. Employees are obliged to co-operate with fellow employees to enhance and maintain the integrity of the employer’s public image.
  6. Employees shall show respect for other financial planning professionals and related occupational groups, by engaging in fair and honorable competitive practices.
  7. Should employees have knowledge of another employee having committed a violation of this code or any other law, which raises substantial questions regarding the employee’s honesty, trustworthiness or fitness as an employee, they shall promptly inform the employer.
  8. In all professional activities, employees shall perform services in accordance with the applicable laws, rules and regulations of government and other applicable authorities, including the code established by the employer, as amended from time to time. Any conduct (including advice given) that contravenes the applicable governmental laws and amended from time to time constitutes a criminal offence.