Forex Signs, Inc. (the "Company") is
committed to maintaining the highest level of public trust and confidence.
As a Commodity Trading Advisor, (CTA) we seek to earn a reputation
for honesty, fairness and integrity in the marketplace. Earning
the trust and confidence of our clients/traders is a priority and
our most valued corporate asset, which forms the basis of our
business success. It is recognized that earning this reputation
in the marketplace depends on our employees’ adherence to
the highest standards of behaving in both an ethical and professional
manner in conducting their duties.
The Forex Signs Code of Conduct (the "Code") sets forth common standards for the Company, its partners, managers and employees. The Code has been constructed and is designed to communicate and promote the values and principles that Forex Signs embodies and to deter any wrong-doing. The Forex Signs Code of Conduct is critical in setting forth these values and principles in writing, so that our employees, as well as the public at large, are fully aware of the standards we set for ourselves and understand the importance of adherence to these standards.
It is our expectation that all employees will assume personal responsibility to comply with the Code, and any failure to comply with the provisions of the Code is grounds for immediate disciplinary action, which may include, but is not limited to: dismissal and referral to relevant government authorities and/or other regulatory bodies, as appropriate. Additionally, with regard to any conduct not specifically covered by the provisions of the Code, employees are instructed to consult their direct supervisors or an appropriate member of the Legal or Compliance Departments, but ultimately all employees are expected to act in good faith and to exercise good judgment in all transactions, in a matter that is consistent and compliant with the provisions of the Code and the values and principles that the Code represents. In addition, all Forex Signs employees must recognize their responsibility to protect our most valued corporate assets and to maintain our reputation in the marketplace.
PRINCIPLES AND POLICIES
The Forex Signs, Inc. mission is to provide our customers with the utmost in customer service and added value to our customers, enabling them to maximize their foreign exchange trading experience while trading with us. However, Forex Signs places a premium on legal and regulatory compliance above all else and all employees must ensure that we remain in compliance with applicable laws and regulations.
Forex Signs, Inc. is registered as a CTA with the National Futures Association ("NFA"). The Company’s employees are expected to comply not only with the Forex Signs Code of Conduct, but also with all applicable laws and regulations.
ETHICAL STANDARDS
Forex Signs, Inc. realizes that ultimately our success is based on the Company’s reputation for integrity, along with the public trust and confidence in which this reputation is earned and garnered. We respect the interests of our clients, honor our commitments, and will always be honest and forthright in proposing to offer only that which we can deliver to our customers. All employees are expected to exercise integrity in all of our business dealings with clients, as with affiliated and non-affiliated entities.
A general requirement of any National Futures Association (“NFA”) member is that communications with the public may not be deceptive or misleading. Forex Signs, Inc. believes that this imperative for truthfulness does not stem solely from the language set forth in regulations, but also due to our philosophy of increased investor protection and confidence that requires we undertake every effort to ensure that our client communications and promotional materials are truthful and complete. Accurate and complete information enables clients/traders to make intelligent investment decisions and, therefore our statements are designed not to confuse, mislead or betray the trust of our customers.
Equality
The Company is committed to treating our clients and all parties that we interact with during the course of business in the same manner that the Company would wish to be treated in all transactions and operations. We apply this concept of fairness and equality to our clients/traders by utilizing this approach in a consistent, non-discriminatory manner, from the largest investors to our smallest account holders, to ensure that we always uphold this important principle.
We will compete in the marketplace in an aggressive manner in order to fully pursue and further our overall interests and to fulfill our mission, yet we will always do this in a manner that is fair, ethical and that fully complies with our Code of Conduct and to all applicable laws and regulations.
We do not, and will never, seek advantages over our competitors using illegal or unethical means, and we endeavor to deal with each of our clients, service providers, competitors, and individual colleagues in a manner that is fair and ethical. We are strictly opposed to taking any unfair advantage of anyone by manipulation, concealment, coercion, fraud, collusion, and abuse of privileged information, misrepresentation of material facts, or any other unfair and deceptive business practices.
Dependability
Forex Signs seeks to consistently live up to the commitments and responsibilities we have towards our clients, employees, service providers, government authorities, regulators, competitors, the media, and society. To our clients, we are committed and will seek to continually provide all products and services in an innovative and efficient manner that is consistent with their needs, with the highest level of quality customer service. We will always provide a comprehensive and easy to use trading environment that offers the speed, reliability, convenience, and value that our customers need. We also endeavor to deliver our products and services in a way that earns customer confidence in transacting business with us.
To our employees, we will continue to offer challenging and rewarding positions in a professional and collegial environment and base professional development and advancement on merit alone.
To our service providers, we seek to build relationships that are mutually beneficial and to collaborate with business partners to provide our customers with the best possible customer service, while promoting our Code of Conduct principles in the process.
To our regulators, we will pursue continued compliance with relevant laws, regulations and standards of sound business practices, holding these principles in the highest regard. We pledge not to circumvent our legal and regulatory compliance for the sake of profits; rather we will seek to cooperate with and uphold all compliance requirements to provide our customers the shared goal of investor protection.
To our competitors, we are committed to competition through ethical and respectful business practices while offering superior products and services.
To the media, we offer our support in providing fair, accurate and objective coverage of our business and business practices.
As a member of society at large, we at Forex Signs pledge to be good corporate citizens and to offer our support to further the efforts of quality organizations and institutions that are dedicated to serving various social, educational, charitable, humanitarian and cultural causes.
Continuous Improvement
Forex Signs, Inc. values both experience and innovation in our personnel. While our Code of Conduct does not create legally-binding obligations for the Company, nor does it confer legal rights to our employees or to others, we will actively review our operating performance and strive to adhere to the principles and values included herein, while continually seeking efficient and effective ways to improve upon our policies and procedures. We further pledge not to be complacent in our efforts toward continuous improvement, in order to remain competitive in the marketplace.
Reliability
Reliability is a key asset that sets Forex Signs apart in terms of its products and services. Our goal is to create peace of mind for our clients in the knowledge that they can depend on us, thereby freeing them to dedicate more attention to their individual investment strategies, while building confidence in our products and services. Utilizing our trading platform, which combines both power and functionality, investors will be able to make real-time, intelligent investment decisions and we will provide the superior customer service required to satisfy all of their investment needs.
ETHICAL PROCEDURES
Compliance
As our Code of Conduct defines, Forex Signs, Inc. acknowledges the importance of all relevant laws, rules, regulations, policies and standards – whether internal or external – and the importance to comply with them. We are committed to strict management discipline and to a first-class internal control and compliance environment. We have established compliance and control department and all employees are expected to consult with the compliance department on specific compliance matters if any such inquiries should arise during the normal course of business with our clients, service providers, government authorities, regulators or the media.
Information Transmission
It is the Company’s policy that the information in all of our communications be full, fair, accurate, timely, relevant, and understandable. This policy applies universally to all Forex Signs communications with government authorities, regulators, employees, clients, and the media. All of our employees involved in disclosure processes and procedures (including upper level management) are responsible to set the proper tone in furtherance of this policy. In particular, upper level management are required to maintain familiarity with applicable disclosure requirements, and are prohibited from knowingly misrepresenting, omitting, or causing others to misrepresent or omit material facts to others, whether within or outside the Company, including our internal auditors and external independent auditors. Those engaged in a supervisory role over our disclosure processes and procedures have an obligation to conduct their duties with diligence and to report any issues of non-compliance with these policies to the compliance and control department immediately.
Audits
Forex Signs, Inc. is committed to an independent, robust internal and external auditing process to supplement our operational processes and to help us identify and address any relevant accounting procedures, internal accounting controls or auditing matters. Kwangho Lee, CPA, 1270 Broadway, Suite 205, New York, NY 10001 has been engaged to provide specialized accounting and audit services with a focus on complex forex transactions. Our managers are expected to cooperate fully in compliance with the auditing process with our auditors in order to develop and implement solutions in an efficient and timely manner.
Privacy Policy
Forex Signs, Inc. maintains appropriate technology and controls in place to monitor the transfer of confidential and sensitive information internally and, to the extent possible, provide sensitive information outside of the Company on a need-to-know basis. We do not deliberately disclose confidential, non-public information concerning our clients, our business, or our employees unless it is in conjunction with legal requirements or while providing services to our clients or by our clients’ specific request. For further details, please see our privacy policy.
Transparency
Forex Signs, Inc. strives to maintain an open and transparent dialogue with each of our clients and others, based on mutual respect, fairness, professionalism and by acting in good faith.
Risk Management
Forex Signs, Inc. apprises its clients as to the risks of investing in the forex market and will always suggest they engage in conscious, disciplined and intelligent risk-taking in regard to their investment activities. For our part, we are guided by adherence to all appropriate legal and regulatory compliance requirements and the implementation of policies and procedures to monitor, control, mitigate and manage those risks to which we are exposed to as part of our day-to-day business activities.
Anti-Money Laundering
To ensure compliance with anti-money laundering laws and regulations, Forex Signs, Inc. has implemented policies and procedures to detect, prevent and report money laundering or other suspicious activities or unauthorized transactions in client accounts.
Forex Signs complies with the International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001, which is Title III of the USA Patriot Act; as well as CFTC regulations thereunto. This minimizes the risk of customers who engage in foreign exchange market with regard to money laundering activities. Our procedures for identification are outlined in our {name of Open an Account} section, where you will find information about Forex Signs’ banks and clearinghouses, regulatory bodies and account opening policies and procedures.
Read more about the USA Patriot Act
EMPLOYMENT POLICIES
Forex Signs, Inc. seeks to create and maintain a professional environment from which to attract, develop and retain outstanding personnel who can excel based on their own merit and performance in the workplace. We are fully committed to Equal Employment Opportunity, and to attracting, retaining, developing and promoting the most qualified employees regardless of race, gender identity, sexual identity, age, disability, veteran status, or any other characteristic prohibited by state or local law.
The Company endeavors to provide a workplace culture that will promote advancement opportunities based on merit, with a corresponding competitive reward system and periodic fair and objective evaluations that take into account performance and personal contribution to the Company’s overall efforts, as well as adherence to the values and principles set forth in its Code of Conduct and other policies as referenced in the Code. Our partners and managers maintain an open-door policy designed to give each employee access to management to freely communicate matters as they arise in the course of business.
Breach of Policy
Forex Signs, Inc. will assess each case individually as to whether or not any violations of its Code of Conduct have occurred, and to determine whether of not disciplinary actions should be imposed upon the violator, and any/or others involved in the alleged violations of policy. Disciplinary actions may include, but are not limited to the following: oral or written reprimand, counseling, warning, probation or suspension without compensation, demotion, reduction in compensation, termination of employment, restitution, and legal action against the violator(s).
We may waive application of the Code of Conduct in certain, limited situations. Any waivers of the Code provisions may be granted only in exceptional circumstances, upon management review and any waivers are solely at its discretion. An employee who believes that a waiver may be justified is instructed to appeal his or her matter and discuss the concern with our General Counsel in the Legal Department and/or Chief Compliance Officer in the Compliance Department.
The Forex Signs Code of Conduct (the "Code") sets forth common standards for the Company, its partners, managers and employees. The Code has been constructed and is designed to communicate and promote the values and principles that Forex Signs embodies and to deter any wrong-doing. The Forex Signs Code of Conduct is critical in setting forth these values and principles in writing, so that our employees, as well as the public at large, are fully aware of the standards we set for ourselves and understand the importance of adherence to these standards.
It is our expectation that all employees will assume personal responsibility to comply with the Code, and any failure to comply with the provisions of the Code is grounds for immediate disciplinary action, which may include, but is not limited to: dismissal and referral to relevant government authorities and/or other regulatory bodies, as appropriate. Additionally, with regard to any conduct not specifically covered by the provisions of the Code, employees are instructed to consult their direct supervisors or an appropriate member of the Legal or Compliance Departments, but ultimately all employees are expected to act in good faith and to exercise good judgment in all transactions, in a matter that is consistent and compliant with the provisions of the Code and the values and principles that the Code represents. In addition, all Forex Signs employees must recognize their responsibility to protect our most valued corporate assets and to maintain our reputation in the marketplace.
PRINCIPLES AND POLICIES
The Forex Signs, Inc. mission is to provide our customers with the utmost in customer service and added value to our customers, enabling them to maximize their foreign exchange trading experience while trading with us. However, Forex Signs places a premium on legal and regulatory compliance above all else and all employees must ensure that we remain in compliance with applicable laws and regulations.
Forex Signs, Inc. is registered as a CTA with the National Futures Association ("NFA"). The Company’s employees are expected to comply not only with the Forex Signs Code of Conduct, but also with all applicable laws and regulations.
ETHICAL STANDARDS
Forex Signs, Inc. realizes that ultimately our success is based on the Company’s reputation for integrity, along with the public trust and confidence in which this reputation is earned and garnered. We respect the interests of our clients, honor our commitments, and will always be honest and forthright in proposing to offer only that which we can deliver to our customers. All employees are expected to exercise integrity in all of our business dealings with clients, as with affiliated and non-affiliated entities.
A general requirement of any National Futures Association (“NFA”) member is that communications with the public may not be deceptive or misleading. Forex Signs, Inc. believes that this imperative for truthfulness does not stem solely from the language set forth in regulations, but also due to our philosophy of increased investor protection and confidence that requires we undertake every effort to ensure that our client communications and promotional materials are truthful and complete. Accurate and complete information enables clients/traders to make intelligent investment decisions and, therefore our statements are designed not to confuse, mislead or betray the trust of our customers.
Equality
The Company is committed to treating our clients and all parties that we interact with during the course of business in the same manner that the Company would wish to be treated in all transactions and operations. We apply this concept of fairness and equality to our clients/traders by utilizing this approach in a consistent, non-discriminatory manner, from the largest investors to our smallest account holders, to ensure that we always uphold this important principle.
We will compete in the marketplace in an aggressive manner in order to fully pursue and further our overall interests and to fulfill our mission, yet we will always do this in a manner that is fair, ethical and that fully complies with our Code of Conduct and to all applicable laws and regulations.
We do not, and will never, seek advantages over our competitors using illegal or unethical means, and we endeavor to deal with each of our clients, service providers, competitors, and individual colleagues in a manner that is fair and ethical. We are strictly opposed to taking any unfair advantage of anyone by manipulation, concealment, coercion, fraud, collusion, and abuse of privileged information, misrepresentation of material facts, or any other unfair and deceptive business practices.
Dependability
Forex Signs seeks to consistently live up to the commitments and responsibilities we have towards our clients, employees, service providers, government authorities, regulators, competitors, the media, and society. To our clients, we are committed and will seek to continually provide all products and services in an innovative and efficient manner that is consistent with their needs, with the highest level of quality customer service. We will always provide a comprehensive and easy to use trading environment that offers the speed, reliability, convenience, and value that our customers need. We also endeavor to deliver our products and services in a way that earns customer confidence in transacting business with us.
To our employees, we will continue to offer challenging and rewarding positions in a professional and collegial environment and base professional development and advancement on merit alone.
To our service providers, we seek to build relationships that are mutually beneficial and to collaborate with business partners to provide our customers with the best possible customer service, while promoting our Code of Conduct principles in the process.
To our regulators, we will pursue continued compliance with relevant laws, regulations and standards of sound business practices, holding these principles in the highest regard. We pledge not to circumvent our legal and regulatory compliance for the sake of profits; rather we will seek to cooperate with and uphold all compliance requirements to provide our customers the shared goal of investor protection.
To our competitors, we are committed to competition through ethical and respectful business practices while offering superior products and services.
To the media, we offer our support in providing fair, accurate and objective coverage of our business and business practices.
As a member of society at large, we at Forex Signs pledge to be good corporate citizens and to offer our support to further the efforts of quality organizations and institutions that are dedicated to serving various social, educational, charitable, humanitarian and cultural causes.
Continuous Improvement
Forex Signs, Inc. values both experience and innovation in our personnel. While our Code of Conduct does not create legally-binding obligations for the Company, nor does it confer legal rights to our employees or to others, we will actively review our operating performance and strive to adhere to the principles and values included herein, while continually seeking efficient and effective ways to improve upon our policies and procedures. We further pledge not to be complacent in our efforts toward continuous improvement, in order to remain competitive in the marketplace.
Reliability
Reliability is a key asset that sets Forex Signs apart in terms of its products and services. Our goal is to create peace of mind for our clients in the knowledge that they can depend on us, thereby freeing them to dedicate more attention to their individual investment strategies, while building confidence in our products and services. Utilizing our trading platform, which combines both power and functionality, investors will be able to make real-time, intelligent investment decisions and we will provide the superior customer service required to satisfy all of their investment needs.
ETHICAL PROCEDURES
Compliance
As our Code of Conduct defines, Forex Signs, Inc. acknowledges the importance of all relevant laws, rules, regulations, policies and standards – whether internal or external – and the importance to comply with them. We are committed to strict management discipline and to a first-class internal control and compliance environment. We have established compliance and control department and all employees are expected to consult with the compliance department on specific compliance matters if any such inquiries should arise during the normal course of business with our clients, service providers, government authorities, regulators or the media.
Information Transmission
It is the Company’s policy that the information in all of our communications be full, fair, accurate, timely, relevant, and understandable. This policy applies universally to all Forex Signs communications with government authorities, regulators, employees, clients, and the media. All of our employees involved in disclosure processes and procedures (including upper level management) are responsible to set the proper tone in furtherance of this policy. In particular, upper level management are required to maintain familiarity with applicable disclosure requirements, and are prohibited from knowingly misrepresenting, omitting, or causing others to misrepresent or omit material facts to others, whether within or outside the Company, including our internal auditors and external independent auditors. Those engaged in a supervisory role over our disclosure processes and procedures have an obligation to conduct their duties with diligence and to report any issues of non-compliance with these policies to the compliance and control department immediately.
Audits
Forex Signs, Inc. is committed to an independent, robust internal and external auditing process to supplement our operational processes and to help us identify and address any relevant accounting procedures, internal accounting controls or auditing matters. Kwangho Lee, CPA, 1270 Broadway, Suite 205, New York, NY 10001 has been engaged to provide specialized accounting and audit services with a focus on complex forex transactions. Our managers are expected to cooperate fully in compliance with the auditing process with our auditors in order to develop and implement solutions in an efficient and timely manner.
Privacy Policy
Forex Signs, Inc. maintains appropriate technology and controls in place to monitor the transfer of confidential and sensitive information internally and, to the extent possible, provide sensitive information outside of the Company on a need-to-know basis. We do not deliberately disclose confidential, non-public information concerning our clients, our business, or our employees unless it is in conjunction with legal requirements or while providing services to our clients or by our clients’ specific request. For further details, please see our privacy policy.
Transparency
Forex Signs, Inc. strives to maintain an open and transparent dialogue with each of our clients and others, based on mutual respect, fairness, professionalism and by acting in good faith.
Risk Management
Forex Signs, Inc. apprises its clients as to the risks of investing in the forex market and will always suggest they engage in conscious, disciplined and intelligent risk-taking in regard to their investment activities. For our part, we are guided by adherence to all appropriate legal and regulatory compliance requirements and the implementation of policies and procedures to monitor, control, mitigate and manage those risks to which we are exposed to as part of our day-to-day business activities.
Anti-Money Laundering
To ensure compliance with anti-money laundering laws and regulations, Forex Signs, Inc. has implemented policies and procedures to detect, prevent and report money laundering or other suspicious activities or unauthorized transactions in client accounts.
Forex Signs complies with the International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001, which is Title III of the USA Patriot Act; as well as CFTC regulations thereunto. This minimizes the risk of customers who engage in foreign exchange market with regard to money laundering activities. Our procedures for identification are outlined in our {name of Open an Account} section, where you will find information about Forex Signs’ banks and clearinghouses, regulatory bodies and account opening policies and procedures.
Read more about the USA Patriot Act
EMPLOYMENT POLICIES
Forex Signs, Inc. seeks to create and maintain a professional environment from which to attract, develop and retain outstanding personnel who can excel based on their own merit and performance in the workplace. We are fully committed to Equal Employment Opportunity, and to attracting, retaining, developing and promoting the most qualified employees regardless of race, gender identity, sexual identity, age, disability, veteran status, or any other characteristic prohibited by state or local law.
The Company endeavors to provide a workplace culture that will promote advancement opportunities based on merit, with a corresponding competitive reward system and periodic fair and objective evaluations that take into account performance and personal contribution to the Company’s overall efforts, as well as adherence to the values and principles set forth in its Code of Conduct and other policies as referenced in the Code. Our partners and managers maintain an open-door policy designed to give each employee access to management to freely communicate matters as they arise in the course of business.
Breach of Policy
Forex Signs, Inc. will assess each case individually as to whether or not any violations of its Code of Conduct have occurred, and to determine whether of not disciplinary actions should be imposed upon the violator, and any/or others involved in the alleged violations of policy. Disciplinary actions may include, but are not limited to the following: oral or written reprimand, counseling, warning, probation or suspension without compensation, demotion, reduction in compensation, termination of employment, restitution, and legal action against the violator(s).
We may waive application of the Code of Conduct in certain, limited situations. Any waivers of the Code provisions may be granted only in exceptional circumstances, upon management review and any waivers are solely at its discretion. An employee who believes that a waiver may be justified is instructed to appeal his or her matter and discuss the concern with our General Counsel in the Legal Department and/or Chief Compliance Officer in the Compliance Department.
EMPLOYEE POLICIES
Each Forex Signs, Inc. employee is personally responsible to abide
by all laws, rules, and regulations, as well as the internal policies
of the Company, including the principles and values embodied in its
Code of Conduct and other policies referenced in the Code. Included in
these responsibilities is the necessity to become familiar with the
laws, rules, regulations, manuals, guidelines, and best business
practices relevant to each employee’s duties, and implementing them to
the best of his or her abilities. We expect that employees will conduct
themselves professionally and in good faith at all times and exercise
due care, competence, credibility and diligence in performing their
duties.
Client Service
Forex
Signs seeks to actively distinguish our company from competitors in the
area of customer service. We expect and encourage our employees to
foster a customer-focused approach, to build customer relationships,
and to treat our clients with the utmost courtesy, professionalism and
respect.
Client Service
We expect our employees to embrace teamwork and to collaborate with
each other, while contributing their best efforts toward reaching
common goals and aspirations.
Collaboration
Personal conflicts of interest arise when employees are faced with a
choice between furthering their own personal interests (financial or
otherwise) in a manner that is in conflict with furthering the
interests of the Company. Conflicts of interest are matters that Forex
Signs, Inc. takes extremely seriously, as these matters may call into
question the Company’s integrity as a whole, and put the Company at
substantial risk to continue its operations.
Accordingly, an employee’s service to the
Company may not be subordinated to any of the employee’s personal
interests, whether or not it is intended to further any personal
gain or advantage. All employees are expected to act in the Company’s
best interest at all times. Any employee who questions his/her objectivity
or who believes he or she may be questioned because of an individual
interest or a family or personal relationship, should immediately
consult with his or her supervisor or escalate the matter directly
to the attention of the appropriate representative of the Legal
or Compliance Department. Additionally, any employee aware of any
material transactions or relationships that could reasonably result,
or be expected to result, in a conflict of interest should promptly
discuss the matter with a supervisor or the appropriate representative
of the Legal or Compliant Department. Any failure to do so will
result in immediate disciplinary action taken against the employee
upon discovery.