Code of Ethics
Senior Financial Officers’ Code of Ethics
This Senior Financial Officers’ Code of Ethics (the “Code”) has been adopted by the Board of Directors (the “Board”) of Raymond James Financial, Inc. (the “Company”) to promote honest and ethical conduct, proper disclosure of financial information in the Company's periodic reports, and compliance with applicable laws, rules and regulations by the Company's senior officers who have financial responsibilities.
As used in this Code, the term “Senior Financial Officer” means the Company's Chief Executive Officer, Chief Financial Officer, Chief Accounting Officer, and Controller.
In performing his or her duties, each Senior Financial Officer must:
(1) maintain high standards of honest and ethical conduct, including the ethical handling of actual or apparent conflicts of interest between personal and professional relationships, as defined in the Company's Code of Business Conduct and Ethics;
(2) provide, or cause to be provided, full, fair, accurate, timely and understandable disclosure in reports and documents that the Company files with, or submits to, the Securities and Exchange Commission and in other public communications made by the Company;
(3) comply, and take reasonable actions necessary to cause others to comply, with applicable governmental laws, rules, and regulations; and
(4) promptly report violations of this Code to the Chief Compliance Officer or the Audit Committee.
Senior Financial Officers must also comply with the Code of Business Conduct and Ethics that applies to all of the Company's officers and associates.
The Audit Committee will periodically assess compliance with this Code, report material violations to the Board, and recommend to the Board appropriate action. Such action shall be reasonably designed to deter wrongdoing and to promote accountability for adherence to the Code, including, among other things, disciplinary action up to and including termination of employment.
As approved by the Board of Directors on May 2025.
Code of Business Conduct & Ethics
Our code is at the center of everything we do, reinforced by our values, vision and guiding behaviors, and inspired by our mission to serve people. It is also an extension of our pledge to commit our energies, intellect and knowledge to attaining the financial objectives of our clients by providing the highest possible level of service and delivering superior investment alternatives.
Board of Directors’ Code of Ethics
The Board of Directors (the “Board”) of Raymond James Financial, Inc. (the “Company”) has adopted the following Code of Business Conduct and Ethics for the Board of Directors (the “Directors’ Code”). Members of the Board (“Directors”) are expected to comply with the letter and spirit of this Directors’ Code. No code or policy can anticipate every situation that may arise. This Directors’ Code is designed, however, to help in maintaining high standards of professional business ethics at the Company. Accordingly, this Directors’ Code is intended to serve as a set of guiding principles for Directors. Directors must conduct themselves accordingly and seek to avoid even the appearance of improper behavior. Directors are encouraged to bring questions about particular circumstances that may involve one or more of the provisions of this Directors’ Code to the attention of the Chair of the Nominating and Corporate Governance Committee (“N&CG Committee”). Directors who also serve as officers or employees of the Company or any of its affiliates must also comply with the Code of Business Conduct and Ethics applicable to all Company associates.
View the full PDF
As approved by the Board of Directors on February 21, 2025.
Statement on Modern Slavery
Raymond James Financial, Inc. and its subsidiaries and affiliates are committed to practices that combat modern slavery and human trafficking and are committed to acting in an ethical manner, with integrity and transparency in all business dealings. As a result, Raymond James is publishing a Modern Slavery Statement that is applicable to the company’s global operations and supply chains.
This statement outlines the proactive steps taken by Raymond James and its Anti-Money Laundering and Financial Crimes Management Group during fiscal year 2024 in an effort to prevent modern slavery related transactions or associated activities from taking place in any part of the company’s operations, subsidiaries, affiliates or supply chains.
Raymond James is committed to protecting and advancing human rights in its business, including through its supply chain, employment practices and supplier risk management process. Raymond James is committed to continuing its efforts to combat modern slavery, including commercial sexual exploitation and forced labor, and mitigating the associated public safety, economic and health risks to its community. Raymond James’ commitment to these issues through its business, client relations, supply chain management and as an employer are set forth below.
View the full PDF
Human Rights Code
We are committed to upholding and respecting human rights as a fundamental aspect of our business operations. We recognize that human rights are universal, indivisible, and interdependent, and we are dedicated to ensuring their protection and promotion within our sphere of influence. Our Human Rights Code outlines our commitments to upholding these rights.