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Professional Principles & Code of Conduct

The Lord George Principles

Professionals within the securities and investment industry owe important duties to their clients, the market, the industry and society at large. Where these duties are set out in law, or in regulation, the professional must always comply with the requirements in an open and transparent manner.

Markus Krebsz is a Individually Chartered Member of the Chartered Institute for Securities & Investment (CISI) and as such is required to meet the following standards set out within the CISI’s Principles:


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1)  To act honestly and fairly at all times when dealing with clients, customers and counterparties and to be a good steward of their interests, taking into account the nature of the business relationship with each of them, the nature of the service to be provided to them and the individual mandates given by them.

2) To act with integrity in fulfilling the responsibilities of my appointment and to seek to avoid any acts, omissions or business practices which damage the reputation of my organisation or the financial services industry.

3) To observe applicable law, regulations and professional conduct standards when carrying out financial service activities, and to interpret and apply them to the best of my ability according to principles rooted in trust, honesty and integrity.

4) To observe the standards of market integrity, good practice and conduct required or expected of participants in markets when engaging in any form of market dealings.

5) To be alert to and manage fairly and effectively and to the best of my ability any relevant conflict of interest.

6) To attain and actively manage a level of professional competence appropriate to my responsibilities, to commit to continuing learning to ensure the currency of my knowledge, skills and expertise and to promote the development of others.

7) To decline to act in any matter about which I am not competent unless I have access to such advice and assistance as will enable me to carry out the work in a professional manner

8) To strive to uphold the highest personal and professional standards.

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These Principles, which are also known as the Lord George Principles in recognition of the contribution made to standards of integrity by the late Lord George FSI(Hon), impose an obligation on members to act in a way beyond mere compliance and to support the underlying values of the Chartered Institute of Securities & Investment - and Markus Krebsz is a proud supporter of those principles and the CISI.

(Source: http://www.secinst.co.uk/bookmark/genericform.aspx?form=29848780&url=ethics)
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