Optimum Asset Management Inc. comply with stringent legislative and regulatory rules set by the Autorité des marchés financiers, it has also elected to comply with various other rules to further safeguard its clients' interests.

Optimum Asset Management Inc. has established a stringent Code of Ethics and Conduct to which all employees must adhere. Adherence to the Code is confirmed annually regardless of employees'activities and duties.

WHAT ARE THESE UNDERTAKINGS?

Several directives have been established to ensure compliance with the following principles:

  • The primacy of client interests
  • The integrity of the market
  • Confidentiality

These directives are based on integrity, honesty, equity, justice and loyalty.

PROFESSIONALISM

All Optimum Asset Management Inc. employees must always act in the interests of its clients and never take advantage of their status as employees for business purposes other than those of Optimum Asset Management Inc.

Optimum Asset Management Inc. employees must avoid any behaviour or statements that may cause prejudice to Optimum Asset Management's clients, its officers, its employees or its offered services.

Moreover, any natural persons who carry out the activities of Portfolio Manager for Optimum Asset Management Inc. are also obliged to respect the code of ethics and standards of professional conduct of their profession, including those of the prestigious designation awarded by the CFA Institute.

DISCLOSURE

All employees must report to the Compliance Manager any fact, wrongful act or conduct that may cause prejudice to the clientele of Optimum Asset Management Inc. in any manner whatsoever as soon as they become aware of it.
Failure to comply with such standards may give rise to disciplinary or criminal measures.