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Code of Ethics

Buttonwood Investment Services, as an independent third-party provider of due diligence research services to the broker-dealer community, has implemented a Code of Ethics to strengthen Buttonwood’s endeavors to produce accurate, independent due diligence reports.  Buttonwood’s Code of Ethics sets forth policies and procedures with respect to:

  • Maintaining independence
  • Exercising diligence
  • Maintaining confidentiality
  • Prohibiting insider trading
  • Adhering to securities laws

Buttonwood’s Code of Ethics includes, among other things, policies and procedures addressing conflicts of interest in the payment for services, the review of reports for accuracy, and gifts & gratuities/business entertainment.  This Code of Ethics prohibits the purchase by Buttonwood and its personnel of any securities offered by sponsors or programs that Buttonwood has reviewed or has been engaged to review as an independent third-party due diligence provider.