CODE OF CONDUCT

Maintaining Integrity in Our Professional Environment


Introduction

At Charles Financial Strategies LLC, our commitment to integrity, professionalism, and excellence defines the core of our business practices. This Code of Conduct provides guidelines for ethical behavior expected of all employees, contractors, management, and board members in their daily activities and decision-making processes.

Scope

This Code applies to all employees, officers, directors, contractors, and consultants of Charles Financial Strategies LLC. It is designed to uphold our commitment to ethical practices and compliance with all applicable laws and regulations.

1. Professional Integrity

  • Ethical Standards: All members of the company, including contractors, must conduct their business affairs with honesty and integrity, avoiding conflicts of interest between personal and professional relationships.

  • Compliance with Laws: Everyone is expected to understand and comply with the legal standards and restrictions applicable to their roles and regions of operation.

2. Respect in the Workplace

  • Diversity and Inclusion: Embrace diversity and work towards an inclusive environment where all members, including contractors, feel respected, valued, and supported.

  • Harassment and Discrimination: Harassment, discrimination, or any other behavior that compromises the dignity of any company member is strictly prohibited.

3. Confidentiality and Privacy

  • Protection of Information: Safeguard confidential and sensitive information and prevent any unauthorized disclosure.

  • Privacy Compliance: Adhere to privacy laws and regulations concerning the handling of personal and customer data.

4. Conflicts of Interest

  • Disclosure of Conflicts: All company members must disclose any situations that may be perceived as a conflict of interest between personal interests and the interests of Charles Financial Strategies LLC.

  • Avoidance of Conflicts: Avoid engagements or relationships that could conflict or appear to conflict with the company’s interests or adversely affect one's judgment on behalf of the company.

5. Corporate Citizenship

  • Community Engagement: Engage in and support lawful and ethical community activities.

  • Environmental Responsibility: Commit to environmental sustainability by minimizing waste and conserving resources in our operations.

6. Reporting and Accountability

  • Reporting Violations: All company members, including contractors, are encouraged to report any suspected violations of this Code, company policies, or legal requirements.

  • Non-Retaliation: The company prohibits retaliation against any company member who reports a violation in good faith.

7. Enforcement and Compliance

  • Monitoring Compliance: Regular audits and reviews will be conducted to ensure compliance with this Code.

  • Disciplinary Actions: Violations of this Code may result in disciplinary action, up to and including termination of employment or contract.

Acknowledgment

All employees and contractors are required to acknowledge that they have read, understood, and agreed to abide by this Code of Conduct annually.

Contact Information

For questions or to report a violation, please contact the Compliance Department at info@charlesfs.com.