Code of Conduct
Standards of appropriate conduct in the performance of the activities:
The Research Analyst shall adopt the following standards of appropriate conduct in the performance of the activities.
To act in a manner that demonstrates exemplary professional conduct: Professionalism requires behaving with dignity and showing respect and courtesy to clients, fellow business associates (if any), and others in business- related activities, and complying with appropriate rules, regulations and business requirements. Professionalism requires the Research Analyst, individually and in cooperation with peers, to enhance and maintain the Research Analyst’s public image and his ability to serve the public interest.
To maintain the abilities, skills and knowledge necessary to provide business services competently: Competence requires attaining and maintaining an adequate level of abilities, skills and knowledge in the provision of business services. Competence requires the Research Analyst to make a continuing commitment to learning and business services improvement.
- To place the client’s interests on priority: Placing the client’s interests first is a hallmark of professionalism, requiring the Research Analyst to act honestly and not place personal gain or advantage before the client’s interests.
- To provide business services with integrity: Integrity requires honesty and sincerity in all business matters. The Research Analyst is placed in positions of trust by clients, and the ultimate source of that trust is the Research Analyst’s personal integrity, both in the letter and the spirit.
- To provide business services objectively: Objectivity requires intellectual honesty and impartiality. Regardless of the services delivered or the capacity in which the Research Analyst functions, objectivity requires the Research Analyst to ensure the integrity of his work, manage conflicts and exercise sound commercial and professional judgment.
- To be fair and reasonable in all business relationships to disclose and manage conflicts of interest: Fairness requires providing clients what they are due, owed or should expect from a business relationship, and includes honesty and disclosure of material conflicts of interest. It involves managing one’s own feelings, prejudices and desires to achieve a proper balance of interests. Fairness is treating others in the same manner that one would want to be treated.
- To act in a manner that demonstrates exemplary professional conduct: Professionalism requires behaving with dignity and showing respect and courtesy to clients, fellow business associates (if any), and others in business- related activities, and complying with appropriate rules, regulations and business requirements. Professionalism requires the Research Analyst, individually and in cooperation with peers, to enhance and maintain the Research Analyst’s public image and his ability to serve the public interest.
- To maintain the abilities, skills and knowledge necessary to provide business services competently: Competence requires attaining and maintaining an adequate level of abilities, skills and knowledge in the provision of business services. Competence requires the Research Analyst to make a continuing commitment to learning and business services improvement.
- To protect the confidentiality of all client information: Confidentiality requires client information to be protected and maintained in such a manner that allows access only to those who are authorized. A relationship of trust and confidence with the client can only be built on the understanding that the client’s information will not be disclosed inappropriately.
- To provide business services diligently: Diligence requires fulfilling business commitments in a timely and thorough manner, and taking due care in planning, supervising and delivering business services