Building and preserving wealth together.

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Code of Conduct

Global Pacific Financial Services Ltd. (the Company) partners with insurance and investment professionals to help build and protect consumer wealth, together. Helping clients understand the areas needing attention is a discovery process and journey an Advisor takes with clients, sometimes over decades.

With an efficient business process and compliance regime, Global Pacific’s Advisors can have confidence knowing that the risk management and saving strategies discussed follows a Best Practice approach helping clients reach their potential and achieve their financial goals and objectives.

Employees and associates of the Company are held to a high standard in a highly regulated industry for the protection of the customer. The resources and tools provided are practical, cooperative solutions to equip Advisors to be compliant, manage risk and effectively address any concerns, essentially helping the Advisor grow and develop a successful and compliant business.

Business Code of Conduct Guide for Financial Advisors 

Definition: “Advisor” is an individual, corporation or partnership that distributes life and/or accident and sickness insurance products, which is interchangeable with the term “Broker” as found in the contract documents.

 


 

Ethical Conduct

Ethical Conduct

Employees and Advisors of the Company will commit to act in the best interests of clients, and deal with them honestly, fairly and professionally.

Confidentiality

Confidential Information

The Company is committed to protecting the privacy, confidentiality, accuracy, and security of personal information that we collect, use, retain, and disclose in the course of providing our clients with products and services. Our Privacy Policy was developed in accordance with existing privacy legislation guidelines.

Regulatory Compliance

Regulatory Compliance

Financial products and services are highly regulated. The are governed by federal and provincial
legislation and regulatory requirements.

Anti Money Laundering

Anti Money Laundering & Anti Terrorist Financing Compliance Regime

The Company is committed to prevent, detect, and rectify any non-compliance with the federal
Proceeds of Crime (Money Laundering) and Terrorist Financing Act.

Advisor Complaints

Advisor Complaints

Any complaint submitted to an Advisor or directly to GLOBAL will be taken in earnest and will be dealt with in a professional manner that maintains respect for the client.

Advisor Misconduct

Advisor Misconduct

The Company will carry out a review of misconduct whenever it becomes aware of a potential breach of the Company’s Code of Conduct, policies & procedures, contractual agreements with the Company, provincial rules and regulations, and the laws, rules, regulations, and standards of any other governing regulatory bodies.

Effect of Non-Compliance

Effect of Non-Compliance With This Code

In order to protect its reputation, that of its Advisors, and the best interests of the public, the Company will take appropriate action against any Advisor(s) who have been found to have violated this Code. This may include filing a report of unsuitability with industry or regulatory bodies, contract termination with or without cause, filing a complaint with the police, or a litigation against the offending Advisor(s) where the Company has incurred losses caused or contributed to by the Advisor.

 


 

Privacy Officer Contact Information

Karen Noseworthy, Privacy Officer

Global Pacific Financial Services Ltd.Phone:604.581.2134 
10430 144 StreetFax:604.581.2629
Surrey, BC V3T 4V5Email:compliance @globalpacific.com