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Team Compliance Biographies
           

The Board of Directors of Grandview Capital Inc.(GCI), together with its affiliates, has adopted the following Code of Ethics. The Code applies to all Financial Professionals employed by GCI and is enforced with the intention of ensuring a continuous level of integrity within the company’s financial reporting and transactions. "Financial Professional" means any professional employee in the area of finance (including core and business finance, accounting, and financial reporting), corporate audit, corporate risk management, corporate tax, investor relations or treasury, and also includes the Chief Executive Officer ("CEO"), Chief Financial Officer ("CFO"), Controller, and any member of Executive Management who has similar operating or oversight responsibilities regardless of such person's designated title.

The Company's Guidelines for Business Conduct: Grandview Capital Inc. Code of Ethics for Directors, Officers and Employees, sets forth the fundamental principles and key policies and procedures that govern the conduct of all of the Company's directors, officers and employees. Financial Professionals are required to conduct their personal and professional affairs in a manner that is consistent with the ethical and professional standards set forth in the FINRA Guidelines for Business Conduct, as well as this supplemental Code of Ethics.

Financial Professionals shall facilitate the work of the Company's independent public auditors and shall not, directly or indirectly, take any action to fraudulently influence, coerce, manipulate or mislead Grandview Capital Inc. independent public auditors.

Each Financial Professional is accountable for his or her adherence to this Code of Ethics and the Company's policies. Any violation of this Code of Ethics may result in disciplinary action, including immediate termination.

Any Financial Professional who believes, in the exercise of reasonable judgment after a review of the facts, that a violation of this Code of Ethics has occurred shall promptly report such violation to the Chief Compliance Officer.

Grandview Capital Inc. policy prohibits retaliation against an employee who reports a violation of this Code of Ethics in good faith. As provided by law, Grandview Capital Inc. is not permitted to fire, demote, suspend, harass or discriminate against an employee in retaliation for such employee providing information to, or otherwise assisting or participating in, any investigation or proceeding by a regulatory or law enforcement agency, or by the Company, relating to what the employee reasonably believes is a violation of the securities laws, an act of fraud or a violation of any wage or discrimination laws. No Grandview Capital Inc. director, officer, employee or representative is permitted to take any such retaliatory action.

All Grandview Capital Financial Professionals must:

  • Engage in and promote honest and ethical conduct, including the ethical handling of actual or apparent conflicts of interest between personal and professional relationships;

  • Take all reasonable measures to protect the confidentiality of non-public information about Grandview Capital Inc. or any subsidiary and Grandview Capital Inc. customers obtained or developed in connection with their activities, and to prevent the unauthorized disclosure of such information unless required by applicable law or regulation or legal or regulatory process;

  •  Produce full, fair, accurate, timely and understandable disclosure, in compliance with applicable accounting standards, in reports and documents that Grandview Capital Inc. or any subsidiary files with, or submits to, any applicable regulatory body and in other public communications made by Grandview Capital Inc. or any subsidiary;

  •  Act in good faith, responsibly, with due care, competence, prudence and diligence, without misrepresenting material facts or allowing one's independent judgment or decisions to be subordinated;

  • Comply with governmental laws and FINRA Rule 2110. Standard of Commercial Honor and Principles of Trade; and

  • Promptly bring to the attention of senior management any information he or she may have concerning (i) significant or material deficiencies or weaknesses in the design or operation of the Company's internal controls, (ii) any fraud, whether or not material, or any actual or apparent conflict of interest between personal and professional relationships, involving any member of management or other employee who has a significant role in the Company's financial reporting, disclosures or internal controls, or (iii) any other matters which could have a material adverse effect on the Company's ability to record, process, summarize and report financial data.




 
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  "The information provided on this website or in any communication containing a link to this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Grandview Capital Inc. or its affiliates to any registration requirement within such jurisdiction or country. Neither the information, nor any opinion contained in this site, constitutes a solicitation or offer by Grandview Capital Inc. or its affiliates to buy or sell any securities, options or other financial instruments or provide any investment advice or service. Nothing herein should be regarded as a representation of future performance. Past performance is not indicative of future performance."
   
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