CODE OF CONDUCT

The Code of Conduct is a collection of rules and principles intended to assist employees and directors in making decisions about their conduct in the firm’s business.

The Code is based on the fundamental understanding that we are all responsible for conducting business ethically and in compliance with the law everywhere we operate. No one should ever sacrifice integrity or give the impression that they have even if they think it would help the firm’s business.

Code of Ethics for Finance Professionals

The purpose of the Code of Ethics for Finance Professionals is to promote honest and ethical conduct and adherence with the law, particularly as related to the maintenance of Luxei Corporate Finance financial books and records and the preparation of its financial statements. Noncompliance with applicable ethics laws and regulations can result in significant legal and regulatory exposure to the firm, as well as cause serious reputational harm

The obligations outlined by this Code of Ethics are a supplement to and do not replace employee responsibilities and obligations listed in the firm's Code of Conduct. Adherence to this Code of Ethics is a term and condition of employment for Finance Officers and Professionals. The firm will take all necessary actions to enforce it, up to and including immediate dismissal.

The Code of Ethics applies to the conduct and reporting requirements of the Chief Executive Officer, Chairman, Chief Financial Officer and Principal Accounting Officer of the firm (Finance Officers) and to all other professionals of the firm worldwide serving in finance, accounting, Treasury, tax or investor relations role (Finance Professionals).

Standards of Conduct

Finance Officers and Finance Professionals must act honestly, promote ethical conduct and comply with the law, particularly as related to the maintenance of the firm's financial books and records and the preparation of its financial statements.

They are specifically required to:

Carry out their responsibilities honestly, in good faith and with integrity, due care, and diligence, exercising at all times their best independent judgment
Comply with applicable government laws, rules, and regulations of federal, state, and local governments and other appropriate regulatory agencies
Never take, directly or indirectly, any action to coerce, manipulate, mislead or fraudulently influence the firm's independent auditors in the performance of their audit or review of the firm's financial statements
Assist in the production of full, fair, accurate, timely, and understandable disclosure in reports and documents that the firm and its subsidiaries file with, or submit to the appropriate agency and in other public communications made by the firm
Take all reasonable measures to protect the confidentiality of non-public information relating to the firm and its clients

Reporting Requirements

Finance Officers and Finance Professionals must:

Address actual or apparent conflicts of interest between personal and professional relationships by disclosing to their manager and appropriate Legal or Compliance Officer any material transaction or relationship that reasonably could be expected to give rise to such a conflict, including but not limited to those with firm customers, suppliers, business associates, and employees with whom they work and/or support, and
Promptly report (anonymously, if they wish to do so) any potential or actual violation of the Code of Ethics or any other matters that may compromise the integrity of the firm’s financial statements

Reports may be made anonymously to the Code of conduct Reporting department via the contact email address below.

The reporting requirements do not prevent employees from reporting to the government or regulators conduct that the employee believes to be in violation of law, and it does not require employees notifying the firm prior to reporting to the government or regulators.

The firm strictly prohibits intimidation or retaliation against anyone who makes a good faith report about a known or suspected violation of the Code of Ethics, or of any law or regulation.

Send an email via conductreport@luxeicorporate.com is the easiest way to make a report. The online resources are available 24 hours a day, 7 days a week.