Elite Securities has adopted a Code of Ethics (the “Code”) to address investment advisory conduct. The Code focuses primarily on strict fiduciary standards, best-interest consumer focus, and the avoidance of any conflicts of interest. The Code includes Elite Securities’ policies and procedures developed to protect clients’ interests in relation to the following topics:
- The duty at all times to place the interests of clients first;
- The requirement that all personal securities transactions be conducted in such a manner as to be consistent with the code of ethics;
- The responsibility to avoid any actual or potential conflict of interest or misuse of an employee’s position of trust and responsibility;
- The fiduciary principle that information concerning the identity of security holdings and financial circumstances of clients is confidential; and
- The principle that independence in the investment decision-making process is paramount.
