In soliciting sales of financial products, Kenedix Advisors takes care to comply with all legal regulations as well as the policies outlined below:
| 1 |
The Company will only market financial products that are appropriate to the individual customer’s knowledge and experience, as well as their asset conditions. |
| 2 |
The Company will recommend appropriate products which the client can buy and sell based on their own judgment. |
| 3 |
The Company will not use any solicitation methods which present anticipated results as a certainty, or include hypothetical information that might mislead the client. |
| 4 |
The Company will refrain from contacting clients at times or in places that are inconvenient to the client or cause them distraction. |
| 5 |
In order to ensure that all solicitation activities conform with the above policies, the Company will establish internal rules and conduct training sessions to ensure that they are understood and followed. |
