Employee Code of Conduct

A Code of Conduct is typically signed when a new employee is hired into the organization. Many organizations review the Code of Conduct on an annual basis during the personnel review cycle.

EMPLOYEE CODE OF ETHICS, FRAUD AND COMPLIANCE STATEMENT

I confirm that I have been trained on the provisions of and have a general understanding of the [ENTER COUNTRY’S REGULATION NAME SUCH AS Bank Secrecy Act and Anti Money Laundering] regulations. I also agree that I will communicate to management any suspicious transactions.

I further agree to comply with the following Code of Ethics:

To maintain complete loyalty to this organization and to pursue its mission, strategies, objectives and plans;
To preserve and protect the confidential relationship between the individual clients of the organization and ourselves and the confidential information entrusted to us through the office which we hold;
To serve all clients of the organization impartially and to provide no special privilege to any individual client, nor to accept personal compensation from an individual client;
Directors, officials, staff and their family members may not receive pecuniary consideration in connection with any matter related to organization business. All transactions with business associates or family members must be conducted at arm’s length and in the best interest of the organization.
To recognize and discharge our responsibilities and those of the organization to uphold laws, regulations, bylaws and policies relating to organization activities;
To exercise sound business policies and principles in the conduct of the affairs of the organization;
To use only legal and ethical means in seeking to influence legislation and regulation;
To refrain from issuing false and misleading statements;
To refrain from dissemination of any damaging or malicious information;
To maintain high standards of personal conduct avoiding any threatening, intimidating and offensive action with any person;
To avoid circumstances which cloud the exercise of prudent judgment due to the potential for personal gain or conflicts of interest.

As acknowledgement to the above statements I hereby affix my signature.

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Employee Signature Date