Code of Conduct
MLSRI FINSERV adheres to the highest ethical standards in providing financial services. Our Code of Conduct reflects our commitment to integrity, transparency, and client-first approach.
Core Principles
Integrity
We conduct our business with utmost honesty and adhere to ethical practices in all our dealings. We avoid conflicts of interest and maintain transparency in all client interactions.
Client First
Our recommendations and actions are guided by what's in the best interest of our clients. We prioritize client goals and objectives above all else.
Compliance
We strictly adhere to all applicable laws, regulations, and industry standards. We maintain thorough knowledge of regulatory requirements and ensure compliance at all times.
Confidentiality
We respect client privacy and maintain confidentiality of all client information. We only use client data for purposes explicitly communicated and agreed upon.
Professional Conduct
- We provide honest, accurate, and comprehensive information to clients
- We recommend only suitable products based on thorough assessment of client needs
- We maintain adequate knowledge and competency through continuous learning
- We avoid misleading or exaggerated statements about products or services
- We disclose all material information, including risks, costs, and potential conflicts
- We provide ongoing service and regular portfolio reviews
Fair Dealing
We are committed to fair dealings with all clients, treating them equally regardless of the size of their investments. Our fee structure and service standards are applied consistently across our client base.
Complaint Handling
We take all client complaints seriously and handle them promptly and fairly. Our complaint resolution process is:
- Acknowledge receipt of complaint within 48 hours
- Investigate thoroughly and impartially
- Resolve complaints in a timely manner
- Communicate resolution clearly to clients
- Learn from complaints to improve our services
Employee Conduct
All employees of M L Srivastava & Associates are expected to:
- Adhere to this Code of Conduct in all professional activities
- Disclose any potential conflicts of interest to management
- Maintain professional qualifications and knowledge
- Treat colleagues, clients, and partners with respect
- Report any violations of this code or legal requirements
We hold ourselves accountable to this Code of Conduct. Any violations are taken seriously and addressed promptly through appropriate disciplinary actions.