To conduct business, MWS Capital LLC may collect nonpublic personal information from sources such as information reported on client applications or other forms provided to us or information about client transactions with us, or others.
MWS Capital LLC shares nonpublic information only to service client accounts. We do not disclose nonpublic personal information about our clients or former clients to anyone, except as permitted by law.
MWS Capital LLC internally safeguards nonpublic personal information of its clients by restricting access to only MWS Capital employees. MWS Capital provides investment management services and needs access to nonpublic information to service accounts. In addition, MWS Capital maintains physical and electronic safeguards to guard nonpublic personal information.
MWS CAPITAL LLC CODE OF ETHICS
This code does not attempt to identify all possible conflicts of interest, and literal compliance with each of its specific provisions will not shield associated persons from liability for personal trading or other conduct that violates a fiduciary duty to clients. A summary of the Code of Ethics’ Principles is outlined below.
- Integrity – Associated persons shall offer and provide professional services with integrity.
- Objectivity – Associated persons shall be objective in providing professional services to clients.
- Competence – Associated persons shall provide services to clients competently and maintain the necessary knowledge and skill to continue to do so in those areas in which they are engaged.
- Fairness – Associated persons shall perform professional services in a manner that is fair and reasonable to clients, principals, partners, and employers, and shall disclose conflict(s) of interest in providing such services.
- Confidentiality – Associated persons shall not disclose confidential client information without the specific consent of the client unless in response to proper legal process, or as required by law.
- Professionalism – Associated persons’ conduct in all matter shall reflect credit of the profession.
- Diligence – Associated persons shall act diligently in providing professional services. We periodically review and amend our Code of Ethics to ensure that it remains current, and we require all firm access persons to attest to their understanding of and adherence to the Code of Ethics at least annually. Our firm will provide of copy of its Code of Ethics to any client or prospective client upon request.
MWS Capital LLC works with each client on an individual basis in order to bring them the personal investment management of the experienced investor. We invest on behalf of our clients as we would invest ourselves, in light of their particular objectives. We accept no funds or fees from any third party or broker.