Ethics and compliance

A shared process

It is mandatory that all employees abide by our ethics and compliance principles. Compliance is a shared process that results from the combined implementation of three missions: prevention, control and reporting.

The ethics and compliance principles aim to protect our clients’ interests, ensure market integrity and maintain seamless internal control mechanisms. These principles include:

• Protecting clients’ interests involves providing them with fair information and advice, as well as taking all reasonable steps to properly manage and execute their orders on the market.
• Ensuring market integrity means barring insider traders from acting on their privileged information on the market and, in parallel, necessitates applying market standards to serve clients’ interests in the best possible way.
• Implementing ethics rules requires us as an investment services provider to take all reasonable measures to detect and monitor conflicts of interest that may arise in the course of our activities.
• The internal control scheme entails the prohibition of business transactions with individuals or organizations suspected of or showing indications of criminal behavior.