Code of Ethics
Kruse Asset Management abides by strict moral policy, which is crucial to best serve the needs of its clients in such a competitive industry. As the company’s founder, Stuart Kruse, is a CFA charter holder, KAM adheres to the code of ethics outlined by the CFA Institute.
The CFA Institute Code of Ethics and Standards of Professional Conduct (Code and Standards) are fundamental to the values of CFA Institute and essential to achieving its mission to lead the investment profession globally by setting high standards of education, integrity, and professional excellence. High ethical standards are critical to maintaining the public’s trust in financial markets and in the investment profession. Since their creation in the 1960s, the Code and Standards have promoted the integrity of CFA Institute members and served as a model for measuring the ethics of investment professionals globally, regardless of job function, cultural differences, or local laws and regulations. All CFA Institute members (including holders of the Chartered Financial Analyst® (CFA®) designation) and CFA candidates must abide by the Code and Standards and are encouraged to notify their employer of this responsibility. Violations may result in disciplinary sanctions by CFA Institute. Sanctions can include revocation of membership, candidacy in the CFA Program, and the right to use the CFA designation.
Click PDF to read the full Code of Ethics and Standards of Professional Conduct.
Kruse Asset Management collects certain nonpublic personal identifying information about its clients (such as their name, address, social security numbers, etc.) from information provided on investor questionnaires, applications and other forms as well as communications (electronic, telephone, written or in person) with them or their authorized representatives (such as their attorney, accountant, etc.) KAM also collects information about client’s brokerage accounts and transaction (such as purchases, sales, account balances, inquires, etc.)
KAM does not disclose the nonpublic personal information collected about its Clients to anyone except in furtherance of its business relationship with them and then only to the persons necessary to effect the transactions and provide the services that are authorized by the client (i.e., the broker-dealer, custodian, independent managers, etc.) or as otherwise provided by law.
KAM also restricts access to its Clients’ nonpublic personal information to those employees who need that information to service the client’s Account. KAM also maintain physical, electronic and procedural safeguards that comply with applicable federal or state standards to protect the nonpublic personal information of these Clients.