Blog Archives

No Fear of Retaliation

When a violation is reported or suspected, SI will conduct a fair, timely, and thorough investigation that provides all parties appropriate due process and reaches reasonable conclusions based on the evidence collected. Remedial actions will then be taken accordingly. Every employee who, in good faith, reports suspected or potential violations …

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We Want to Know

If you have questions or concerns regarding your responsibilities under SI’s Code of Conduct and Ethics, or want to report a violation of the Code, laws or regulations, policies, procedures, or any other matters in the workplace, you should contact your supervisor, the HR manager or an SI officer. Complaints …

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A Reminder About Our Insider Trader Policy

Any MNPI obtained from the client, vendor or other sources, or in the course of your research should not be discussed with anyone outside the office, and discussed in the office only on a “need to know basis.” Specifically prohibited activities You may not trade in the stock or other …

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Ethics and Trading on Inside Information

Your duty to SI In the course of your employment, you are entrusted with “material non-public information” (MNPI) and have a duty of confidence to SI and/or to the source of the information. Information is considered material if there is a substantial likelihood that a reasonable investor would consider it …

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Doing What’s Right

We strive to do what is right, not just what is minimally acceptable. What does this mean? Examples? It is important that everyone feels comfortable raising concerns and identifying potential issues. If you make a mistake, tell your supervisor. Everyone makes mistakes. Many things are not black and white. Seek …

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Shared Responsibilities

Take ownership. Do the right thing, knowing that leadership fully supports you. Lead by example. Be a role model by communicating and acting in a manner consistent with our core values. Help those you lead. Guide your team to get the knowledge, skills, and resources they need to maximize their …

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Our Core Values and Culture

SI’s core values are built into our culture and commitment to the highest standards of personal and professional conduct. The success of both SI as a whole and of individual employees depends on an ethical and engaged workforce that benefits from meaningful work, clear organizational direction and accountability within a …

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What are Ethics?

Got ethics? Are you ethical question handwritten with white chalk on blackboard with eraser smudges Sociologist Raymond Baumhart asked several business people what “ethics” means to them. Among their replies were: “Ethics has to do with what my feelings tell me is right or wrong.” “Ethics has to do with …

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