Why ethical culture is needed?

The stock market scam of 1992 is considered one of the worst violations of ethics in the Indian financial industry.

This has given us countless scandals and news stories about professionals who have defrauded investors, employers, and peers. There is no doubt that greed is a powerful emotion, but sometimes unethical behavior boils down to lack of education on basic principles of financial standards. The finance industry has been singled out as a case of rampant unethical behavior and corporate greed.

Investors intrinsically trust financial institutions with their money and expect them to invest it with integrity. All market risks considered, investors expect the highest return and put their faith in the hands of professionals. Upholding investor confidence is vital to the success of the investment industry. High ethical standards are critical to maintaining the public’s trust in financial markets and in the investment profession.

How we build ethical culture

We have highest allegiance towards ethical culture

We strive to stay true to our values and ethics towards our clients and professional commitments towards all the stakeholders. Following is our code of ethics which incorporates best practices all around the globe in the finance and banking industry.

  • Loyalty, Prudence, and Care – We place our clients’ interests before our own interests. In the process of delivering value to clients, we act with reasonable care and exercise prudent judgment. Our loyalty towards our clients is never compromised.
  • Fair Dealing – We deal fairly and objectively with all our clients while engaging with them professionally. This ensures that the interests of no single client are placed in priority to those of other clients.
  • Suitability – We ensure that the products and services offered to our clients are best suited to their individual financial situation and conditions, as agreed with them.

We ensure that information about our former, current, and prospective clients is kept confidential unless we are required by law to disclose it, or the client permits to disclose it.

  • We communicate effectively to clients our service delivery process, our operating procedures, and the general principles of financial and investment process; all the risks and limitations associated with the processes along with the significant decisions made.
  • We distinguish between facts and opinions in all our consultations and presentations.
  • We retain all records associated with our service deliveries and communication with clients to support our recommendations and actions.

We ensure adherence to honesty, fair dealing, truthfulness, and straightforwardness in all our professional endeavors which involves full and fair disclosure of all material factors associated with our services.

We ensure that our consultancy and advice to our client is unbiased and is not influenced by any conflict of interest or undue influence of others. We make full and fair disclosure of all matters that could reasonably be expected to impair our independence and objectivity or interfere with our duties to our clients and prospective clients.

We bring the requisite expertise, skills, knowledge, and experience on the table to serve the clients’ needs, taking due care of the expectations of our clients. Our team remains abreast of all the professional and technical developments to perform competently in the professional environment. We ensure adequate supervision in all the steps of our service delivery process.

We exercise diligence, independence, and thoroughness in making recommendations and taking actions while serving our clients. We have a reasonable and adequate basis, supported by appropriate research and investigation, for any analysis, recommendation, or action.

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