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Code of Ethics

As shown in the About Us section, Jaco Jordaan has earned the right to use multiple professional certifications. Beyond educational and work experience requirements, each professional association typically makes authorization to use their respective certification or charter marks conditional on the individual committing to adhere to a code of ethics. In short, a code of ethics means an advisor commits to always doing the right thing. Of course each organization further defines what that means. For more information on each organization’s definitions, please click on the links below.

CFP® Certificant Code of Ethics:

  • CFP Board adopted the Code of Ethics to establish the highest principles and standards. These Principles are general statements expressing the ethical and professional ideals certificants and registrants are expected to display in their professional activities. As such, the Principles are aspirational in character and provide a source of guidance for certificants and registrants. The Principles form the basis of CFP Board’s Rules of Conduct, Practice Standards and Disciplinary Rules, and these documents together reflect CFP Board’s recognition of certificants’ and registrants’ responsibilities to the public, clients, colleagues and employers.

    Principle 1 – Integrity: Provide professional services with integrity.

    Integrity demands honesty and candor which must not be subordinated to personal gain and advantage. Certificants are placed in positions of trust by clients, and the ultimate source of that trust is the certificant’s personal integrity. Allowance can be made for innocent error and legitimate differences of opinion, but integrity cannot co-exist with deceit or subordination of one’s principles.

    Principle 2 – Objectivity: Provide professional services objectively.

    Objectivity requires intellectual honesty and impartiality. Regardless of the particular service rendered or the capacity in which a certificant functions, certificants should protect the integrity of their work, maintain objectivity and avoid subordination of their judgment.

    Principle 3 – Competence: Maintain the knowledge and skill necessary to provide professional services competently.

    Competence means attaining and maintaining an adequate level of knowledge and skill, and application of that knowledge and skill in providing services to clients. Competence also includes the wisdom to recognize the limitations of that knowledge and when consultation with other professionals is appropriate or referral to other professionals necessary. Certificants make a continuing commitment to learning and professional improvement.

    Principle 4 – Fairness: Be fair and reasonable in all professional relationships. Disclose conflicts of interest.

    Fairness requires impartiality, intellectual honesty and disclosure of material conflicts of interest. It involves a subordination of one’s own feelings, prejudices and desires so as to achieve a proper balance of conflicting interests. Fairness is treating others in the same fashion that you would want to be treated.

    Principle 5 – Confidentiality: Protect the confidentiality of all client information.

    Confidentiality means ensuring that information is accessible only to those authorized to have access. A relationship of trust and confidence with the client can only be built upon the understanding that the client’s information will remain confidential.

    Principle 6 – Professionalism: Act in a manner that demonstrates exemplary professional conduct.

    Professionalism requires behaving with dignity and courtesy to clients, fellow professionals, and others in business-related activities. Certificants cooperate with fellow certificants to enhance and maintain the profession’s public image and improve the quality of services.

    Principle 7 – Diligence: Provide professional services diligently.

    Diligence is the provision of services in a reasonably prompt and thorough manner, including the proper planning for, and supervision of, the rendering of professional services.

CFA Institute Code of Ethics:

  • I will:

    Act with integrity, competence, diligence, respect, and in an ethical manner with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets.

    Place the integrity of the investment profession and the interests of clients above my own personal interests.

    Use reasonable care and exercise independent professional judgment when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activities.

    Practice and encourage others to practice in a professional and ethical manner that will reflect credit on ourselves and the profession. Promote the integrity and viability of the global capital markets for the ultimate benefit of society.

    Maintain and improve my professional competence and strive to maintain and improve the competence of other investment professionals.

    Adhere to this code of ethics.

The American College Code of Ethics:

  • The American College sponsors the ChFC® designation.

    To underscore the importance of maintaining ethical standards in financial services, the Board of Trustees of The American College of Financial Services adopted a Code of Ethics in 1984. Embodied in the Code are the designees’ Professional Pledge and eight Canons.

    The Canons

    1. Conduct yourself at all times with honor and dignity.
    2. Avoid practices that would bring dishonor upon your profession or The American College.
    3. Publicize your achievements in ways that enhance the integrity of your profession.
    4. Continue your studies throughout your working life so as to maintain a high level of professional competence.
    5. Do your utmost to attain a distinguished record of professional service.
    6. Support the established institutions and organizations concerned with the integrity of your profession.
    7. Participate in building your profession by encouraging and providing appropriate assistance to qualified persons pursuing professional studies.
    8. Comply with all laws and regulations, particularly as they relate to professional and business activities.

    The Professional Pledge

    “In all my professional relationships, I pledge myself to the following rule of ethical conduct: I shall, in light of all conditions surrounding those I serve, which I shall make every conscientious effort to ascertain and understand, render that service which, in the same circumstances, I would apply to myself.”

CAIA Association Code of Ethics:

  • Each Applicant and Member (each the “Individual”) must fully abide by this Code of Ethics.

    1. In the five (5) years preceding the Individual’s initial execution of the Candidate and Member Agreement, the Individual has not been
      • involved as a defendant, respondent, or primary subject in any litigation, arbitration, or investigation based on the Individual’s professional conduct;
      • the subject of a written complaint regarding the Individual’s professional conduct;
      • convicted of a felony or another crime punishable by more than one (1) year in prison;
      • prevented, due to misconduct or complaints against the Individual, from
        • acting under any mandatory professional license or registration (e.g., investment adviser or broker);
        • acting as an affiliated person or employee of any entity required to be registered under any law or regulation (e.g., investment company or bank);
        • trading on any securities market.
    2. The Individual shall promptly inform CAIAA if the Individual becomes
      • involved as a defendant, respondent ,or primary subject in any litigation, arbitration, or investigation based on the Individual’s professional conduct;
      • the subject of a written complaint regarding the Individual’s professional conduct;
      • convicted of a felony or another crime punishable by more than one (1) year in prison;
      • prevented, due to misconduct or complaints against the Individual, from
        • acting under any mandatory professional license or registration (e.g., investment adviser or broker);
        • acting as an affiliated person or employee of any entity required to be registered under any law or regulation (e.g., investment company or bank);
        • trading on any securities market.The Individual shall provide CAIAA with a statement of disclosure regarding any such complaints or suits as the CAIA Association may request, from time to time, in its sole discretion.
    3. All information provided to CAIAA is and shall be true to the best of the Individual’s knowledge and belief at the time such information is provided to CAIAA. The Individual shall provide to CAIAA, within a reasonable time period, any documentation that CAIAA may request regarding any information provided, and representations made, by the Individual. The Individual consents to CAIAA’s investigation of any representations the Individual makes to CAIAA.
    4. The Individual shall comply with all applicable laws, rules, and regulations of any government, regulatory organization, licensing agency, or professional association governing its professional activities.
    5. The Individual shall not engage in any professional conduct involving dishonesty, fraud, or deceit, or commit any act that reflects adversely on his or her professional reputation, integrity, or competence.
    6. The Individual shall not misrepresent or exaggerate the meaning or implications of his or her relationship with CAIAA.
    7. The Individual shall fully comply with his or her obligations under the Candidate and Member Agreement, and the Individual will immediately notify CAIAA if he or she is not in full compliance with such obligations.
    8. The Individual shall not engage in any conduct that compromises the reputation or integrity of CAIAA

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