Articles - National Ethics Association

Articles

Is it any wonder financial professionals looking to stay in compliance often end up with eyestrain, if not a migraine headache?

I will always commit myself to protect and promote the interests of my customers, and will always conduct myself in a way that reflects well on my profession.
I will be totally honest when explaining my education and business background, professional licenses, and years of industry experience.
I will be completely truthful by not exaggerating the features and benefits of my products and/or services.
I will always disclose the important features of a product, transaction, or service and disclose potential risks that may negatively affect future performance or value.
I will always consider both my customer’s current and future needs to determine the proper suitability of any recommended products or services.

I will respect the confidentiality of any information entrusted to me or obtained in the course of my business or professional activities.
I will only use sales presentations and advertising materials that are completely accurate and compliant with state and federal regulations.
I will always provide my clients with copies of all required documents that relate to the product, transaction, or service that I have recommended to them.
I will always refer my clients to a more specialized professional or firm when their needs go beyond my current license or expertise.
I will consistently educate myself as to the new laws and regulations in my industry, and I will always act in good faith toward those I serve.