Worth · Regulatory document
Code of Conduct
Registration
Honesty and Fairness
We act honestly, fairly, in our clients’ best interests and in the integrity of the market.
Diligence
We act with due skill, care and diligence, after thorough analysis and consideration of available alternatives.
Capabilities
We employ appropriate resources and procedures for efficient performance of our business activities.
Information about Clients
We seek relevant financial situation, investment experience and objective information and maintain its confidentiality.
Information to Clients
We make adequate disclosures of relevant material information.
Fair and Reasonable Charges
Fees remain subject to regulatory ceilings and are fair and reasonable.
Conflicts of Interest
We avoid conflicts where possible and disclose unavoidable conflicts while treating clients fairly.
Compliance
The company, Principal Officer and persons associated with advice comply with all applicable regulatory requirements.
Responsibility of Senior Management
Senior management bears primary responsibility for standards of conduct and proper procedures.
