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Code of Ethics

Clients are entitled to expect high standards of conduct in all of their dealings with Neilly Financial Services Inc. To assist Neilly Financial Services Inc. in fostering a culture of compliance and ethics among its employees, Neilly Financial Services Inc. has developed a Code of Ethics.  Because of the sensitive nature of client data, Neilly Financial Services Inc. personnel who have access to material, non-public information regarding client holdings or recommendations given to clients, including all members and employees, are required to adhere to this Code of Ethics.

The following overarching principals are the foundation upon which the Neilly Financial Services Inc. Code of Ethics is built.

  • Fiduciary Duty:   Above all else, the Neilly Financial Services Inc. Code of Ethics requires that when conducting business and dealing with clients, Neilly Financial Services Inc. and its members and employees always fulfill their affirmation duty of good faith to act in the clients’ best interest.  While conflicts of interest inevitably arise, whenever possible Neilly Financial Services Inc. endeavors to make sure all actual and potential conflicts of interest are identified, fully and fairly disclosed to clients, and resolved in a manner beneficial to its clients.


  • Integrity:   Unqualified adherence to code of moral value is the foundation of ethical behavior.  The position of trust placed in Neilly Financial Services Inc. by its clients mandates that Neilly Financial Services Inc. performs its duty in an honest and professional manner at all times.


  • Competence:   The duties performed by Neilly Financial Services Inc. include complying with all applicable laws, rules and regulations.  In fulfilling these obligations to its clients, Neilly Financial Services Inc. will do so competently and in good faith.  Whenever possible, Neilly Financial Services Inc. requires that its members and employees seek additional training to ensure competency and proficiency in all aspects of client services.


  • Professionalism:   Crucial to proper business conduct is the ability to act in a professional manner.  Neilly Financial Services Inc. believes that every client deserves to be treated with the highest level of professionalism by every member and employee.  Every client should have a positive experience when working with Neilly Financial Services Inc. members and employees.  Clients should expect to be given the relevant information they need to make good decisions, including all methods and means of compensation and fees associated with their accounts.  It is unprofessional to engage in any conduct that reflects adversely upon Neilly Financial Services Inc. or the financial services profession.


  • Objectivity:   When making recommendations, Neilly Financial Services Inc. must present all facts to the client free of personal prejudices, feelings or emotional influences.