YOU & HANOVER BROOKS
Potentially achieving financial success could be a long journey, however we believe that recognition is the foundation of reaching your individual goals.
We are dedicated to providing you with superior quality service and personal attention to your individual needs.
Investing time in developing client relationships and analyzing your financial capabilities we believe is essential in understanding one's individual needs.
CORPORATE RESPONSIBILITY
Maintaining an impecable reputation with clients, colleagues, affiliates, regulators and the general public is the obligation of every Hanover Brooks director, officer and employee. We can fulfill this obligation by adhering to high professional standards of excellence and integrity. At Hanover Brooks, we conduct the performance of our duties by honoring to key Principles Of Professional Business Conduct And Code Of Ethics for which we carry out everyday.
Principle One
Our company must conduct its business with integrity, honesty and respect for all individuals.
Principle Two
Our company must conduct its business with due skill, care and diligence.
Principle Three
Our company must take reasonable care to organize and control its affairs responsibly and effectively.
Principle Four
Our company must observe proper standards of market conduct.
Principle Five
Our company must pay due regard to the interests of its customers and treat them fairly.
Principle Six
Our company must pay due regard to the information needs of its clients and communicate information to them in a way which it is clear, fair and not misleading.
Principle Seven
Our company must have no conflict of interest in any trade.
Principle Eight
Our company must cooperate and collaborate within and across workgroups, communicating and sharing information candidly and openly with each other for which we are an integrated company striving for the same goal, our client’s success.
Respect for the Individual and Conduct Business Activities in an Atmosphere of Good Faith and Respect All Hanover Brooks persons should be honest and fair with all others. We strive on a personal level to treat each individual with dignity, consideration and respect. Internal relationships with fellow employees should be based on the same high standards of integrity and ethical responsibility that are observed with Hanover Brooks’s customers and the public.
Compliance with Standard Industry Rules and Internal Controls
We respect and comply with standard industry compliance rules. We develop internal controls to ensure that business transactions are properly authorized and carried out and that all reporting is truthful and accurate. All business transactions require authorization at an appropriate management level.
Confidentiality
Take all reasonable measures to protect the confidentiality of information about Hanover Brooks and its customers obtained or developed in connection with their activities and to prevent the unauthorized disclosure of such information unless required by applicable law, or regulatory process.
Competition and Fair Dealing
We seek competitive advantage through superior, careful and appropriate honest performance, never through unethical or illegal business practices. We do not take unfair advantage of anyone through manipulation, concealment, abuse of privilege information, or misrepresentation. Hanover Brooks seeks to excel and outperform our competitors, honestly and fairly.
Promotional Material
Hanover Brooks’s promotional material must be truthful, not deceptive and in full compliance with applicable laws, industry rules and company policies. All promotional material must be approved pursuant to the procedures established in each of the business units across the company.
Money Laundering; Antiterrorism Laws
Hanover Brooks complies fully with local and international laws prohibiting money laundering and with the safeguards against terrorist activity contained in the USA Patriot Act. In addition to severe criminal penalties, money laundering by Hanover Brooks employees and violations of the USA Patriot Act will result in disciplinary action, including termination. Any suspicious deposits or any other client activity that raises questions about the source of the client's funds should be reported immediately to your supervisor, manager and the general counsel of compliance.
Integrity and Conflicts of Interest
We act with honesty and integrity, avoiding actual or apparent conflicts of interest in personal and professional relationships. A conflict of interest exists when a person’s private interest interferes, or appears to interfere, in any way with the interests of Hanover Brooks and its customers. Any director or employee who becomes aware of a conflict of interest or potential conflict of interest must promptly bring it to the attention of a supervisor, manager or general counsel of compliance.
Initial Customer Compliance
In our continuing effort to assure accuracy in order taking, reporting and compliance, for both Hanover Brooks and its customer’s integrity, each new customer must be approved by the Compliance Department. We assure the customer and ourselves that the risk has been fairly stated.
Reporting any Violations of the Code
We must promptly talk to supervisors, managers or other appropriate persons, or consult the Compliance Procedure described in this Code, about any observed violations of this Code, including any violations of laws, rules, regulations or other legal requirements or when in doubt about the best course of action in a particular situation. It is the policy of Hanover Brooks not to allow retaliation for reports of misconduct by others made in good faith by a director or employee.