Participation or Interest in Client Transactions. Creative Planning and its associated persons may buy or sell securities that are also recommended to clients. Securities recommended by the firm are widely held and publicly traded. In addition, in accordance with its fiduciary duty to clients, Creative Planning and its associated persons will place client interests ahead of their own interests. Finally, we have developed policies and procedures under our Code of Ethics that require our employees to submit their personal securities holdings and transactions to our Firm. This is done so that we can monitor their investments to ensure compliance with our Code of Ethics and our general fiduciary duty to clients.
Appears in 5 contracts
Samples: Facilitation Agreement, Investment Fiduciary Facilitation Agreement, Investment Fiduciary Facilitation Agreement
