Code of Ethics
Nationwide Planning Associates, Inc. has a simple, basic Code of Ethics, which is disseminated to all affiliated personnel. Activities by anyone, from senior management to clerical staff, violating this Code of Ethics will not be tolerated.
Every aspect of our business will be conducted in a fair, lawful, and ethical manner. Sufficient internal controls have been implemented to ensure that all reasonable efforts are taken at all times to deter and detect any activities which do not meet the highest standards of ethical behavior.
Senior management is committed to working with Compliance and all registered individuals to ensure the existence and awareness of a strong and committed compliance culture.
Senior management’s leadership style will be to lead by example, creating an environment encouraging honesty and fair play by all employees in the conduct of his or her duties.
Our customers will be offered only those pre-approved products/services which have been determined to be appropriate for their specific needs and which provide fair value.
It is our obligation to respect and protect the right to privacy of all our clients.
Confidential or proprietary information, obtained in the course of an individual’s association or employment with Nationwide Planning Associates, Inc., is not to be used for personal gain or to be shared with others for personal benefit.
All efforts are to be made to avoid actual or apparent conflicts of interest. Such a conflict may exist even when no actual wrongdoing occurs; the opportunity to act improperly may be sufficient to give the appearance of a conflict.
Strict compliance with all laws and regulations governing the securities industry is paramount. Senior management will continue to ensure that the procedures in place are acceptable in terms of making determinations regarding the qualifications, experience and training of all individuals prior to assigning them any supervisory responsibilities.
Individual employees not adhering to this Code of Ethics, as well as all other policies and directives issued by Nationwide Planning Associates, Inc., during the course of any activities undertaken on behalf of this broker/dealer will be subject to sanctions and possible termination.