Code of Ethics

It is fundamental to the fair treatment of investors that all Brokers and Employees, Officers and Directors of SAFG maintain and continue to adhere to the highest standards of integrity and ethical business conduct.

The client’s interests must be the foremost consideration in all business dealings. All methods of soliciting and conducting business must be such as to merit public respect, and all personal business affairs must be conducted responsibly.

All Brokers and Employees must report any contravention of this Code to the Compliance Officer. Breach of this Code may be grounds for a warning or possible dismissal. All Brokers, Employees, Officers, and Directors must cooperate in any investigation of possible breaches of this Code.

This Code of Ethics establishes the principles that all SAFG Brokers shall follow. These norms are based upon the highest ethical standards of trust, integrity, justice, fairness, and honesty. They are not limited to strict compliance with "the letter of the law” but also shall foster compliance with the “spirit of the law”.

  1. Brokers shall provide services and fulfill obligations with integrity and in good faith.
  2. Brokers shall provide services competently and fairly.
  3. Brokers shall provide services with proper care, diligence, and professional knowledge.
  4. Brokers shall conduct themselves in a professional manner that reflects positively on themselves, their firms, and their industry.
  5. Brokers shall strive to meet the needs of their clients and always act in the client’s best interest.
  6. Brokers shall disclose all conflicts of interest that arise in providing client services.
  7. Brokers shall hold client information in the strictest confidence and respect the privacy of others at all times.
  8. Brokers shall adhere to all industry regulations and respect both the spirit and letter of the law.