eTrade 2011 Annual Report Download - page 192

Additional information regarding suppliers may be found at:
https://mychannele.corp.etradegrp.com/web/guest/departments/procurement.
Standards of Conduct Demanded of Third Parties
E*TRADE’s vendors, suppliers, contractors and agents are expected to operate with the same commitment to the law and to ethics
that we demand of ourselves. E*TRADE employees should make it clear in their dealings with third parties that we expect third
parties to meet the highest ethical standards in their dealings with E*TRADE and to be in full compliance with the law.
Requests for Legal, Financial or Tax Advice
Customers may request legal, financial or tax advice about securities or other issues because they assume that our employees are
knowledgeable about these areas. E*TRADE’s policy, however, prohibits employees from giving legal or tax advice to a customer.
Certain employees may be permitted to provide financial advice to customers but only to the extent that any such employees are
specifically licensed to provide advice and have been authorized by E*TRADE to do so. Any questions relating to the provision of
financial advice to customers should be directed to the Compliance Department.
I
n all cases, customers should be advised to consult their own counsel for legal advice and to consult their own tax advisors for tax
g
uidance.
Advertising
Only the Marketing Department is authorized to arrange for advertising on E*TRADE’s behalf, and all marketing promotions and
advertisements of any kind must be approved by the Advertising Review team in the Compliance Department before any such
promotion is launched or any advertisement of any kind is published or broadcast in any way.
Charitable Contributions
Charitable contributions and giving are coordinated through the Corporate Contributions Committee. Employees are strictly
prohibited from committing E*TRADE funds for donation without express permission from the Corporate Contributions Committee.
Communications With the Media and Other Third Parties
E*TRADE values its relationships with the press and maintains routine, ongoing contact with key publications and broadcast outlets
around the world.
Because our corporate communications strategy is coordinated across E*TRADE, our corporate messaging must be closely managed
to ensure that it is concise and consistent, so only approved spokespersons, working in coordination with Corporate Communications,
are authorized to communicate with the media. Accordingly, all press or other media inquiries must be directed to Corporate
Communications, and employees are not to make contact with the press or media without consulting Corporate Communications.
This includes “letters to the editor” or comments to journalists about specific matters that relate to E*TRADE’s businesses and those
that identify you as an employee of E*TRADE. With respect to press inquiries about legal or regulatory matters or customer
complaints, employees and officers should follow
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