On an annual basis, candidates and designees must review and attest to the Code of Ethics.
Fi360 Designee Code of Ethics
I recognize that this Code of Ethics, and its principles and obligations, are in addition to those set forth by any other professional or personal Code of Ethics or Code of Conduct under which I operate. Furthermore, I commit to adhere to both the spirit and letter of this Code of Ethics.
- Employ and provide the client information on the Prudent Practices when serving as an investment fiduciary and/or advising other investment fiduciaries,
- Act with honesty and integrity,
- Take all reasonable steps to avoid or manage material conflicts of interest, and properly disclose any material conflicts that cannot be avoided.
- Ensure the timely disclosure of relevant and/or material information in a manner that is accurate, complete, objective, and easily understandable.
- Ensure that my fees and compensation are fair and reasonable by being responsible when determining the value of my services and my form of compensation; taking into consideration the time, skill, experience, and special circumstances involved in providing my services.
- Acknowledge the limits of my expertise, and refer my clients to colleagues and/or other professionals for assistance with matters which require knowledge, skills, or capacity beyond which I possess.
- Respect the confidentiality of personal and financial information acquired in the course of my work, and not disclose such information to others, except when authorized or otherwise legally obligated to do so. I will not use confidential information acquired in the course of my work for my personal advantage.
- Not exploit any relationship or responsibility that has been entrusted to me.
- Proactively promote and be a steward of ethical behavior in my professional and personal life.
- Ensure that the promotion of my practice and the interactions I have with others is done in a manner that reflects the best interests of my profession.
- Work toward the continual improvement of the profession and my organization by sharing ideas and information; offering honest, objective, and constructive criticism to my professional colleagues; accepting criticism of my work as a professional; and taking steps to correct deficiencies.
- Use corporate assets and resources entrusted to me in a responsible manner.
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