National Capital Ethics Policy
Our ethics policy is built on five pillars - Transparency, Client First Decisions, Competence, Confidentiality and Professional Behavior. Underpinning these five pillars is Integrity, which we define as being consistent in our application of the above principles, and holding not only ourselves but everyone in our company to the same high standards.
Our ethics policy will be reviewed at least once annually.
Our definition: We will be transparent in all our dealings with our clients.
- Any conflicts of interest, whether real or perceived will be communicated openly to clients.
- If we have made an error that has affected the client, even if its rectified later, the client will be informed.
- All fees we charge and commissions we earn will be communicated openly to clients.
- Public access of our policies and business practices
Client First Desicions
Our definition: All decisions we make will put the client first.
- If there is a choice between a product that pays a higher commision vs one that suits the client better, we will choose the later.
- If a decision we take leads to a loss for us, but better outcomes for our clients as a whole - we will make that decision.
Our definition: Before providing a service, we must have the competence, knowledge, and skills to provide that service.
- If we do not have the competence, we will not take on a client.
- We will spend time increasing our competence, knowledge and skills by continued learning and professional development.
- Stay informed and comply with relevant laws and regulations.
Our definition: We will keep all Client information 100% confidential.
- Client situations will not be discussed for non business purposes.
- If a client is someone in your personal circle, you will not share his/her info with common acquaintances.
- We will not share client info with third parties for profit, unless the client has specifically agreed to do so.
Our definition: The client is the reason the business exists; we will keep that in mind during all our interactions with clients.
- Never keep a client waiting.
- Never be late.
- Go the extra mile.
- Treat the client the way you would want to be treated if you were a client of another business.
- Take extra care that communication & interaction with clients brings you across as a professional.
Our definition: Integrity is being consistent in our application of the above principles, and holding not only ourselves but everyone in our company to the same high standards.
- Making sure we uphold our ethics principles at all times and not pick and choose.
- If we feel others in our company are not upholding our principles, we will take appropriate steps to change; even if the other person is a ‘higher’ position or not in our team.