Sage Financial Investments Code of Ethics

Always place the best interests of your clients above your own direct or indirect interests.

  • Gather a detailed fact finding of client’s personal and financial goals.
  • Listen and communicate effectively within a timely manner.
  • Present and disclose all facts that apply to enable clients to make knowledgeable decisions.

Be mindful and confidential of all business and personal information pertaining to your clients’ affairs.

  • At no time reveal client’s name and personal situation without permission from client
  • Secure client files and client records
  • Affirm that employees maintain client confidentiality

Maintain and follow all laws and provisions in the jurisdiction in which you do business

  • Uphold all proper licensing and recommend products in which you have written approval
  • Sign and date all applications with clients honestly and accurately
  • Remain aware of contractual and moral obligations