Buttonwood Due Diligence, as an independent third-party provider of due diligence services to the broker-dealer and registered investment advisor community, has implemented a Code of Ethics to strengthen Buttonwood’s endeavors to produce accurate, independent due diligence services.
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.
