Annual Report — Small Business — Form 10-KSB
Filing Table of Contents
Document/Exhibit Description Pages Size
1: 10KSB Intellectual Technology 10Ksb, 12.31.03 34 161K
2: EX-14.1 Intellectual Technology 10Ksb, Code of Ethics 4 13K
3: EX-31.1 Intellectual Technology 10Ksb, Cert 302, CEO 2± 9K
4: EX-31.2 Intellectual Technology 10Ksb, Cert 302, CFO 2± 9K
5: EX-32.1 Intellectual Technology 10Ksb, Certi 906, CEO 1 6K
6: EX-32.2 Intellectual Technology 10Ksb, Cert 906, CFO 1 6K
EX-14.1 — Intellectual Technology 10Ksb, Code of Ethics
| EX-14.1 | 1st Page of 4 | TOC | ↑Top | Previous | Next | ↓Bottom | Just 1st |
|---|
Exhibit 14.1
INTELLECTUAL TECHNOLOGY, INC.
Code of Ethics for
------------------
Principal Executive Officer and Senior Financial Officers
---------------------------------------------------------
I. INTRODUCTION
------------
A. Purpose of Code.
---------------
Intellectual Technology, Inc. (the "Corporation") is committed to the
-----------
highest standards of legal and ethical conduct, including providing full and
accurate financial disclosure in compliance with applicable laws, rules and
regulations and maintaining its books and records in accordance with applicable
accounting policies, laws, rules and regulations.
This Code of Ethics for Principal Executive Officer and Senior Financial
Officers (this "Code") is designed to set forth particular standards of conduct
----
that the Corporation requires its principal executive officer and its senior
financial officers to follow. Any activity by a principal executive officer or
senior financial officer of the Corporation contrary to this Code is prohibited
and is not within the scope of employment or authority of such persons.
B. Persons Subject to this Code.
----------------------------
This Code is applicable to the following Corporation personnel:
1. Principal executive officer
2. Principal financial officer
3. Principal accounting officer
4. Controller; and
5. Other persons performing similar functions as persons in the
enumerated positions (individually, a "Covered Person" and collectively, the
"Covered Persons").
C. Distribution and Commitment
---------------------------
All Covered Persons will be given a copy of this Code. Each Covered Person
will be required to certify that each (i) has read and understands the
guidelines contained in this Code and (ii) will comply with the terms of this
Code.
II. COMPLIANCE WITH RULES AND REGULATIONS
-------------------------------------
The Corporation is committed to conducting its business in accordance with
all applicable laws, rules and regulations and in accordance with the highest
standards of business ethics. As a Covered Person, you must not only comply with
applicable laws, however. You also have leadership responsibilities that include
creating a culture of high ethical standards and commitment to compliance;
maintaining a work environment that encourages employees to raise concerns; and
promptly addressing employee compliance concerns.
1
III. CONFLICTS OF INTEREST
---------------------
A. General Statement.
-----------------
All Covered Persons are expected to use good ethical judgment, and to avoid
situations that create an actual or potential conflict between the Covered
Person's personal interests and the interests of the Corporation. A conflict of
interest also exists where the Covered Person's loyalties or actions are divided
between the Corporation's interests and those of another, such as a competitor,
supplier or customer. Both the fact and the appearance of a conflict should be
avoided.
Before making any investment, accepting any position or benefits or
participating in any transaction or business arrangement that creates or appears
to create a conflict of interest, Covered Persons must obtain the written
approval of the Audit Committee of the Board of Directors.
While it is not feasible to describe all possible conflicts of interest
that could develop, the following are some of the more common examples.
B. Examples of Conflicts.
---------------------
1. Financial Interest in Another Business. Covered Persons should
----------------------------------------
not have a direct or indirect financial interest in a customer, supplier,
competitor or others with whom the Corporation does business. The ownership of
less than one percent (1%) of the publicly traded stock of a corporation will
not be considered a conflict.
2. Other Employment and Outside Activities. Covered Persons should
----------------------------------------
not work for, become directly or indirectly involved with, or receive
compensation of any sort from, a customer, supplier or competitor of the
Corporation or others with whom the Corporation does business. Covered Persons
should not engage in any activity which may be competitive with or contrary to
the interests of the Corporation.
3. Corporate Opportunities. Business opportunities of which Covered
-----------------------
Persons learn as a result of employment with the Corporation belong to the
Corporation, if within the scope of the Corporation's existing or contemplated
business, and should not be taken advantage of for personal gain.
IV. DISCLOSURE IN REPORTS
---------------------
The Corporation is committed to providing full, fair, accurate, timely and
understandable disclosure in reports and documents filed with, or submitted to,
the Securities and Exchange Commission and in other public communications made
by the Corporation.
V. COMPLIANCE WITH THIS CODE
-------------------------
If Covered Persons have questions about this Code, advice should be sought
from the Audit Committee of the Board of Directors. If a Covered Person knows of
or suspects a conflict of interest or a violation of applicable laws or
regulations or this Code, the Covered Person must immediately report that
information to the Chief Executive Officer or, if the suspected violation
concerns the Chief Executive Officer, to the Chairman of the Board.
2
VI. ACCOUNTABILITY; WAIVER OF THIS CODE
-----------------------------------
The Board shall determine, or designate appropriate persons to determine,
appropriate actions to be taken in the event of violations of this Code. Such
actions shall be reasonably designed to deter wrongdoing and to promote
accountability for adherence to this Code, and may include written notices to
the individual involved that the Board has determined that there has been a
violation, censure by the Board, demotion or re-assignment of the individual
involved, suspension with or without pay or benefits and termination of the
individual's employment.
The Corporation will waive application of the policies set forth in this
Code only when circumstances warrant granting a waiver, and then only in
conjunction with any appropriate monitoring of the particular situation. Changes
in and waivers of this Code may be made only by the Board of Directors or the
Audit Committee of the Board and will be disclosed as required under applicable
law and regulations.
3
Intellectual Technology, Inc.
CODE OF ETHICS
FOR
PRINCIPAL EXECUTIVE OFFICER AND
SENIOR FINANCIAL OFFICERS
RECEIPT AND AGREEMENT OF COMPLIANCE NOTICE
OFFICER'S NAME:
------------------------------------------------------------
I have read and understand the Code of Ethics for Principal Executive
Officer and Senior Financial Officers of Intellectual Technology, Inc. and
hereby acknowledge receipt thereof. I agree to comply with the requirements of
such code.
----------------------------------------
Signature
----------------------------------------
Date
↑Top
Filing Submission 0001127855-04-000199 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help —
Tue., Apr. 30, 8:20:54.1am ET 