The EISA Guiding Principles are intended to be the foundation that shows the way and directs the movements of our organization and its members. They form a broad philosophy that gives EISA its values and guides EISA throughout its life in all circumstances, irrespective of changes in its goals, strategies, type of work, or personnel.

All professionals within the EIS/SEIS industry owe important duties to their clients, the market, the profession and society as a whole. Where these duties are set out in law or regulation, the company and its individuals should comply with the requirements in both letter and spirit. The use of fraud, deception, manipulation or unfair practices as defined under applicable law are unacceptable.

Members of the Enterprise Investment Scheme Association are also required to meet the standards set out within the following 4 Principles, which impose an obligation on members to act all times not only in compliance with the rules, but also to support the underlying values of EISA.

Principle one – Spirit and Intent
To act honestly, fairly and within both the spirit and intent of the EIS/SEIS legislation.

Principle two – Integrity
To act with integrity in fulfilling the responsibilities of any engagement and seek to avoid any acts, omissions or business practices which damage the reputation the EIS/SEIS profession.

Principle three – Conflicts of Interest
To be alert to and manage fairly and effectively any relevant conflict of interest.

Principle four – Professionalism
To observe the standards of market integrity, good practice, conduct and confidentiality and to strive to uphold the highest personal and professional standards at all times as well as promote equality of opportunity and diversity within all relevant communities.

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