Code of ethics is a document which entails all the values, morals and mission of an organization, firm or a business. The document shows how professionals should approach and solve emerging issues and the guidelines of ethics regarding the firm’s standards and values. These code of ethics form the baseline for the professionals. Most of the financial advisers are registered with the Securities and Exchange Commission whereby they are regulated by a working code of ethics. The code is a mandatory and legal-binding requirement; it is also shows loyalty and committing to perform in the best interest of the esteemed customer.
Professionals are supposed to uphold ethical measures and standards such as truthfulness, high levels of integrity, avoidance of conflict of interest, honesty, and objectivity when undertaking and executing all the duties in the different areas of the workplace. Professional employees should always refer to the code of ethics in order to be clear when handling different issues and situations. They should aim at protecting the firm’s assets by preparing, disclosing and maintaining proper, accurate and up to date records, securing information technology systems and communications. In addition, the employees should be regular and on time in attending to work and duties. In case of accident or one of the employees be absent then the supervisor should be notified in order to make adequate arrangements on the coverage and hence continuity of work in his or her absence (Jagger. Pp. 22-23).
Professionalism in physical appearance is vital especially when the employees are dealing with other potential customers. The named employee should be dressed formally and well-groomed based on their type of job and the position they play.
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Moreover, A professional should also respond promptly to requests, set benchmarks and follow- through accompanied with promises in a timely manner. In addition, an employee should maintain his or her composure even if faced with a difficult scenario. Besides these, one should be responsible for his or her actions, own mistakes and try to find a way of resolving and eventually fixing it soonest possible.
Upholding the best phone etiquette possible. For instance, the employee should disclose his or her full name, position assigned, company, especially when responding to a call. One should never dominate the communication, listen intently and be able to process and code what the person is saying.
It is the essential that the employees demonstrate as well informed, sound moral and principles based on the code of ethics of the workplace. Persons with integrity are ever principled and one can count on them since they behave in such honorable ways even when there is no supervisor around because they comprehend their chores.
