Brockelsby Investment Services Code Of Ethics

The code of ethics for Brockelsby Investment Services is based on North American Securities Administrators Association Standards, the Standards of Professional Conduct of the Certified Financial Planner Board of Standards and the South Carolina Code of Regulations, sec. 13-502. The guiding ethical principal of BIS is to offer objective, unbiased advice that puts the interests of the client first and foremost.

As anyone who pays attention to the financial news can see, a great many options are available today to the typical investor. And there's no shortage of opinions concerning the best way to invest one's money. Navigating through this maze of information can be a difficult task. Given these factors, the goal of Brockelsby Investment Services is to help each individual investor find the right mix of investments that will meet his or her specific needs. Advising someone about how to invest their hard-earned money is not a responsibility to be taken lightly. My commitment is to treat each client's portfolio with the same care that I have used in managing money for my family and family business since 1993.

  1. BIS will handle client assets with the care of a fiduciary, that is, a client's assets will be managed for the benefit of the client.
  2. BIS shall exercise reasonable and prudent judgment in providing professional services.
  3. BIS will act in the interest of the client.
  4. BIS will make and/or implement only recommendations that are suitable for the client based on information provided by the client.
  5. BIS will not solicit clients through false or misleading communications or advertisements.
  6. BIS will not engage in conduct involving dishonesty, fraud, deceit or misrepresentation, or knowingly make a false or misleading statement to a client.
  7. In exercising custody of, or discretionary authority over, client funds or other property, BIS shall act only in accordance with the authority set forth in the governing legal instrument (e.g., special power of attorney, trust, letters testamentary, etc.)
  8. BIS shall identify and keep complete records of all funds or other property of a client in the custody of or under the discretionary authority of BIS.
  9. BIS will not borrow from or loan funds to clients.
  10. BIS will disclose to clients in writing, before any advice is rendered, any material conflict of interest which could reasonably be expected to impair the rendering of unbiased and objective advice.
  11. BIS will always make a reasonable investigation regarding financial products which are recommended to clients.
  12. BIS fees and compensation will be fair and reasonable.
  13. BIS shall not reveal or use for its own benefit without the client's consent any personally identifiable information relating to the client relationship or the affairs of the client, except and to the extent disclosure or use is reasonably necessary.
  14. In all professional activities, BIS shall perform services in accordance with applicable laws, rules and regulations of governmental agencies and other applicable authorities.


Jeff Brockelsby