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Ethics and Compliance

Holding ourselves to the highest standard.

Our focus on doing the right things – the right way – for our clients.

In a dynamic world and with complex businesses, it is critical to continuously enhance awareness of our expectations for ethical behavior. Honoring the trust clients place in us requires supporting a culture where we can recognize unethical behavior, feel comfortable and safe reporting it, and have confidence that it will be dealt with appropriately.

Ethics & Compliance Mission

We strive to do the right things – the right way – for our clients. We promote ethical behavior by providing employees access to best practices and resources that align with our respect for those who place their trust in us, while encouraging open and constructive dialogue throughout our community. Most of all, we work to continuously demonstrate our belief that in everything we do, ethics matter most.

Our Goals

Through the leadership of Suzanne Spradley, NFP’s chief compliance officer, associate general counsel, and the active participation of every member of the NFP community, we commit ourselves to working toward these goals:

  • Promote ethical behavior and an ethical culture
  • Educate employees on ethical practices and resources
  • Demonstrate our commitment to clients, partners, vendors and prospective employees
  • Showcase how we strive to do the right things the right way

A Culture of Honesty and Accountability

A key element of our culture is a shared commitment to conducting ourselves in a manner that reflects our values. We enhance our ability to build strong personal relationships based on trust, transparency and active communication, and demonstrate our commitment to the well-being of our employees and clients, when we understand and follow this code. All employees, officers, directors and managing directors are expected to act in accordance with our guiding principles.

We invite our clients, partners, communities, families and friends to join us in demonstrating a commitment to ethical practices. Together we can continuously evolve and support stronger cultures that elevate awareness, safety and mutual respect.

Copyright © 2021 NFP Corp. All Rights Reserved.

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NFP Corp. and its subsidiaries do not provide legal or tax advice. Compliance, regulatory and related content is for general informational purposes and is not guaranteed to be accurate or complete. You should consult an attorney or tax professional regarding the application or potential implications of laws, regulations or policies to your specific circumstances.

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