eTrade 2012 Annual Report Download - page 218

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, temporary agency employee, contractor and director of E*TRADE (“you” and collectively) must abide
by the Statement of Ethics below and each employee must abide by this Code of Professional Conduct (the “Code”).
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, Temporary Agency Employees, Contractors and Directors
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• 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, including each employee, temporary agency employee, contractor and director of ETFC adhere to all applicable laws,
rules and regulations (including, but not limited to those promulgated by Securities and Exchange Commission (“SEC”),
the Financial Industry Regulatory Authority (“FINRA”), the Office of the Comptroller of the Currency (“OCC”), the
Federal Reserve Bank of Richmond (the “Fed”), the Federal Deposit Insurance Corporation (“FDIC”), the Consumer
Finance Protection Bureau (“CFPB”), Office of Foreign Assets Control (“OFAC”) or related to Anti-terrorism or Anti-
Mone
y
Launderin
g
).
• We treat all em
p
lo
y
ees, tem
p
orar
y
a
g
enc
y
em
p
lo
y
ees, contractors and directors res
p
ectfull
y
and fairl
y
.
• We do not tolerate an
y
form of harassment.
Throughout the Code, the term “E*TRAD
E
” or the “Company” refers to E*TRADE Financial Corporation (“ETFC”) and its
subsidiaries, 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.
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