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Document Preview Code of Business Conduct and Ethics |
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Title: |
Code of Business Conduct and Ethics |
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Entities: |
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Date: |
2005 |
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Size: |
21KB total |
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Price: |
$37 |
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ID: |
#1578001 |
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Start of Preview |
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| Introduction | 2 | ||
| General Principles | 2 | ||
| Ethical Behavior | 2 | ||
| Compliance with Laws, Rules, and Regulations | 2 | ||
| Fair Dealing | 3 | ||
| Confidentiality of Information | 3 | ||
| Professionalism and Respect for Others | 3 | ||
| Conflicts of Interest | 4 | ||
| Duty of Loyalty | 4 | ||
| Corporate Opportunities | 4 | ||
| Insider Trading | 4 | ||
| Gifts and Entertainment | 5 | ||
| Business Practices | 5 | ||
| Editorial Conflicts Disclosure | 5 | ||
| Corporate Disclosure under the Securities Laws | 5 | ||
| Compliance with Trading Policies and Restrictions | 5 | ||
| Books and Records | 6 | ||
| Employment Practices | 6 | ||
| Compliance with the Code | 6 | ||
| Reporting of Violations | 6 | ||
| Enforcement of the Code | 7 | ||
| Waivers of the Code | 7 | ||
| Certification | |||
1
This Code of Business Conduct and Ethics embodies the commitment of TheStreet.com, Inc. and its subsidiaries to conduct its business in an honest and ethical manner, in accordance with all applicable laws, rules, and regulations. All of our employees, as well as directors and outside contributors to our publications, are expected to adhere to the provisions of this code that apply to them.
TheStreet.coms reputation for honesty, integrity, and editorial independence in the marketplace is central to our success as a business. Accordingly, all of us have a personal responsibility to conduct ourselves in a way that reflects positively on our company and that is in keeping with the letter and spirit of the law and the principles set forth in this code.
No written policy could possibly cover every business situation or ethical issue that may arise amidst the challenges of conducting business in a complex and rapidly changing environment. However, the code is intended to articulate standards of ethical conduct that should apply to all business dealings and activities of the company.
Everyone associated with TheStreet.com should be guided by the following general principles in deciding what course of action to take in any particular circumstance.
Ethical Behavior
Your decisions and behavior can have far-reaching implications for you as an individual and on TheStreet.com as a corporation. Working at TheStreet.com means acceptance of individual responsibility for behaving in an honest and ethical manner in the pursuit of TheStreet.coms business objectives.
Compliance with Laws, Rules, and Regulations
We as a firm must respect and obey
all of the laws, rules, and regulations that apply to our business. TheStreet.com, a
registered investment advisor, and Independent Research Group LLC, our registered broker
dealer subsidiary, have policies and procedures designed specifically to meet applicable
laws, rules, and regulations. Managers of each business unit are responsible for
establishing (with the assistance of the Legal Department) procedures sufficient to ensure
that their business units operate in compliance with the laws, rules, and regulations that
apply to them. Although you as an employee are not expected to know the details of every
law or rule affecting the business, it is your responsibility to become familiar with and
comply with firm-wide policies and procedures, and those of your business unit. If you are
End
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