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Conduct
Deposit Brokers shall act in the best interest of their
clients and shall place the interest of their clients above
their own. Deposit brokers shall conduct themselves with
integrity and dignity and act in an ethical manner in their
dealings with the public, employers, employees and fellow Deposit
Brokers.
Deposit Brokers shall conduct themselves and shall encourage
others to practice deposit brokering in a professional and ethical
manner that will reflect credit on themselves and their profession.
Deposit Brokers shall act with competence and shall strive to
maintain and improve their competence and that of others in
the profession.
Deposit Brokers shall use proper care and exercise independent
professional judgement.
Click here for a
PDF document detailing our bylaws.
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Compliance
Deposit Brokers shall comply with all governing Laws and Regulations
including the Broker Code & Standard. They shall maintain
knowledge of, and shall comply with, all applicable laws, rules
and regulations of any government, government Agency and Regulatory
organization governing their professional, financial or business
activities as well as with these Standards of Professional Conduct
and the Code of Ethics.
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Advertising
Deposit Brokers shall advertise rates and/or products that are
available at time of placing the advertisement, making every
effort to ensure that information is current to deadlines.
All rates are to be clearly stated and quoted on a per annum
basis.
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Place of
Business
Deposit Brokers shall maintain a place of business identifiable
for the Public with posted opening hours. At all time
Deposit Brokers must maintain qualified staff to support the
business day.
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Confidentiality
Deposit Brokers shall not discuss the client=s business or personal
affairs outside of the office without the express permission
of the client. All documentation must be treated in a
confidential manner with necessary security to protect clients'
records to the same degree as the Brokers' own.
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Know the
Client
Deposit Brokers should make every effort to determine the financial
status of their client. From that point, after making
qualified recommendations, they shall be guided by the client's
wishes, ensuring that quality and safety of funds are heeded.
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