1. NEMA members shall promote the highest standard of ethical conduct; by acting in the best interest of its investors by dealing fairly, honestly, and in good faith.
2. NEMA members shall conduct meaningful suitability assessments with their investors, ensuring a complete and diligent understanding of the client and the investments they recommend.
3. NEMA members shall provide investors with all the necessary information and ensure that the information is fair, balanced, and not misleading so that the investor can make informed decisions with their investments.
4. NEMA members shall be transparent with their compensation to their investors.
5. NEMA members will respect the rights of investors to privacy and confidentiality of personal information, and conduct themselves with discretion.
6. NEMA members will respect, and act in accordance with, securities regulations and the compliance policies and procedures of their organizations, including the spirit and values on which they are based.
7. NEMA members will conduct themselves professionally in all business matters, and be respectful of their colleagues and competitors.
8. NEMA members shall reflect their commitment to professionalism and integrity in the professional life, and conduct themselves in a way as to enhance a positive reputation for the association and the exempt market industry.
9. NEMA members shall make a continued commitment to increasing their proficiency and work to improve the exempt market sector through engagement with association through feedback, activities, and initiatives.
10. NEMA members shall promote this Code of Professional conduct to others in the exempt market sector and encourage, through their example, this standard of behaviour.