Trust & Ethics
Analyst Code of Ethics
The obligations every FlowWealth analyst accepts.
Last updated
Integrity
Analysts act with integrity, competence and diligence, and place the integrity of the research above their own interests and those of the firm.
Independence and objectivity
Analysts exercise reasonable care to achieve and maintain independence and objectivity. They do not accept gifts, benefits or hospitality that could reasonably be expected to compromise their judgement.
Diligence and reasonable basis
Analysts exercise diligence and thoroughness, and have a reasonable and adequate basis, supported by appropriate research, for any analysis or recommendation.
Fair dealing
FlowWealth publishes research to all entitled recipients on a fair basis. Analysts do not selectively disclose research conclusions in advance of publication.
Personal account dealing
Analysts must disclose personal holdings in securities or asset classes they cover. Personal dealing ahead of publication in a covered security is prohibited.
Confidentiality
Analysts preserve the confidentiality of information received from clients in the course of advisory engagements, and do not use confidential client information in published research.
Misconduct
Analysts do not engage in any conduct involving dishonesty, fraud or deceit, or commit any act that reflects adversely on their professional integrity or competence.
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