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Our code of ethics

Investment analysis

•  Diligence and reasonableness

In all the dealings with clients every member shall: -

•  exercise diligence, independence and thoroughness in analyzing investments, making investment recommendations and taking investment actions;

•  have reasonable and adequate basis for any investment analysis, recommendation or action.

•  Conditions precedent to delivering advice

Every member shall, prior to effecting any transaction or giving any investment advice, disclose to the client the basic format and general principles of the investment processes used to analyze investments, select securities and construct portfolios and shall promptly disclose any changes that might materially affect those processes.

•  Record keeping

Every member shall make and maintain, in a format acceptable to KASIB, appropriate and accurate records of investment analysis, recommendations, actions and other investment-related communications with clients and prospective clients.