Rogalski Financial Services promotes good compliance by training, educating and communicating with our team and our colleagues in an ongoing manner.
Any investments administrated through Rogalski Financial Services are held in our clients' names. All transactions – financial and non-financial – are verified for compliance, authenticity, and investment objectives. All client correspondence is maintained in a secure environment and only designated staff has access to client confidential information.
Rogalski Financial Services believes that compliance is everyone's duty and that thorough compliance is best done when the process is part of an integrated control structure.
Many different support functions and individuals working together with all lines of business personnel are necessary for thorough and effective compliance. Compliance monitoring activities are integrated into existing organizational processes and become part of our regular business tasks and activities performed by all team members.
Code of Ethics
Rogalski Financial Services has created a Code of Ethics that governs the activity of our team members. Within our Code of Ethics are policies that specifically govern privacy, confidentiality of information and compliance. Every member of our team is bound to the guidelines of this code and signs this agreement representing agreement and compliance with the Code.
Every team member of Rogalski Financial Services will act honestly and in good faith in every interaction with the client. All team members of Rogalski Financial Services will act with integrity, competence, and dignity and in an ethical manner when dealing with the public, clients, prospects, employers, employees and fellow professionals.
All team members of Rogalski Financial Services must comply with the fiduciary duty to all clients. They have the obligation to know and understand, and comply with securities legislation applicable to their duties and responsibilities in each Province in which business is conducted.
All team members of Rogalski Financial Services must act for the benefit of their clients at all times and must always place the interests of their clients before their own.
All sales advisors of Rogalski Financial Services will deal fairly and objectively with all clients and prospects when disseminating investment recommendations and upon taking any investment action.
Rogalski Financial Services will preserve the confidentiality of information communicated by the client concerning matters within the scope of the confidential relationship unless Rogalski Financial Services is instructed by law or by court order to make available for the purposes of any judicial or legal actions information regarding the client and their personal information.
Rogalski Financial Services is committed to maintaining the highest standards of service to our clients. All client concerns are addressed in a thorough and comprehensive manner.
Rogalski Financial Services regularly reviews its standards of professional conduct, underlying code of ethics and compliance procedures with all designated responsible persons. This review process ensures an open dialogue and ongoing communication and training to address any changes to compliance procedures that may be rendered necessary based on the ever changing evolution of our financial markets.