RM Capital and it’s representatives strive to provide a level of service that exceeds the industry benchmark when it comes to ethics and professionalism. Following the Code of Ethics, each adviser operates according to the five values and twelve stands you see below. Compliance with the Code of Ethics is a legal obligation for all financial advisers from 1 January 2020.
Our Values
TRUST
COMPETENCE
HONESTY
FAIRNESS
DILIGENCE
Standards of
ETHICAL BEHAVIOUR
Standard 1:
Act in Accordance with all applicable laws
Standard 2:
Act with personal integrity
Standard 3:
Do not advise or act to derive inappropriate personal advantage
Standards of
CLIENT CARE
Standard 4:
Act only on the basis of the consent of the client
Standard 5:
Ensure advice is in the client’s best interest and that the client understands
Standard 6:
Consider the effects of the advise you provided
Standards of
QUALITY PROCESS
Standard 7:
Obtain informed consent to all the benefits and in accordance with Corporations Act 2001
Standard 8:
Maintain complete and accurate records
Standard 9:
Ensure that advice is offered in good faith
Standards of
PROFESSIONAL COMMITMENT
Standard 10:
Maintain a high level of relevant knowledge and skills
Standard 11:
Cooperate with ASIC and Code Monitoring Bodies in investigations
Standard 12:
Uphold and promote the ethical standards of the profession