Code of Ethics
Always place the clients interests above your own direct or indirect interests.
- Gather a detailed fact finding of client’s personal and financial goals.
- Listen and communicate effectively within a timely manner.
- Present and disclose all facts that apply to enable clients to make knowledgeable decisions.
Be mindful and confidential of all business and personal information pertaining to your clients’ affairs.
- At no time reveal client’s name and personal situation without permission from client
- Secure client files and client records
- Affirm that employees maintain client confidentiality
Maintain and follow all laws and provisions in the jurisdiction in which you do business
- Uphold all proper licensing and recommend products in which you have written approval
- Sign and date all applications with clients honestly and accurately
- Remain aware of contractual and moral obligations