eTrade 2011 Annual Report Download - page 179
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Introduction
E
*TRADE is committed to upholding the highest standards of ethical conduct, honesty and integrity.
E*TRADE is committed to being a leader in the financial service industry and to do so we must operate in accordance with the
highest standards of ethical conduct, honesty and integrity and, above all, a commitment to our customers and stockholders.
Accordingly, each employee, officer and director of E*TRADE (“you”) must abide by the Statement of Ethics below and this Code of
Professional Conduct.
STATEMENT OF ETHICS
E*TRADE pledges to ensure that we operate our business and serve our customers and stockholders by acting in accordance with the
highest standards of ethical conduct, honesty and integrity. E*TRADE is committed to the following principles:
Business Operations
Treatment and Conduct of Employees, Officers and Directors
1
•
We are committed to
p
rovidin
g
the best customer services to meet our customers’ needs.
•
We market our
p
roducts and services in an honest and fair manner.
•
We do not com
p
romise our values.
•
We do not use Inside Information (as discussed in Section 5 below) about E*TRADE or other companies for personal
p
rofit or
g
ain.
•
We will safe
g
uard an
y
confidential information entrusted to us.
•
We adhere to all laws and re
g
ulations a
pp
licable to our business.
•
We treat all em
p
lo
y
ees, officers and directors e
q
uall
y
and fairl
y
.
•
We do not tolerate an
y
form of harassment.
•
We do not tolerate anyone asking our employees, officers and directors to break the law, or violate E*TRADE’s policies,
p
rocedures or values.
•
We provide employees, officers and directors with the information and necessary facilities to perform their jobs and
functions in a safe manner.
•
We do not tolerate an
y
one usin
g
, brin
g
in
g
or transferrin
g
ille
g
al items on E*TRADE
p
ro
p
ert
y
.
•
We re
q
uire
y
ou to re
p
ort an
y
sus
p
icious activities.
Throughout the Code, the term “E*TRAD
E
” or the “Company” refers to E*TRADE Financial Corporation and its subsidiaries
and affiliated entities, including subsidiaries outside the United States. To the extent that anything in this Code of Professional
Conduct is inconsistent with a local rule, re
g
ulation or law, the local rule, re
g
ulation or law will take
p
recedent.
1
1