Annual Report — Small Business — Form 10-KSB
Filing Table of Contents
Document/Exhibit Description Pages Size
1: 10KSB Annual Report -- Small Business 58± 261K
2: EX-3 Certificate of Incorporation 6 18K
9: EX-14 Code of Ethics 2 9K
3: EX-21 Subsidiaries 2 5K
4: EX-23 Accounting Firm Consent 2 7K
5: EX-31 CEO Certification 2± 10K
7: EX-32 Certification per Sarbanes-Oxley Act (Section 906) 1 7K
8: EX-32 Certification per Sarbanes-Oxley Act (Section 906) 1 7K
6: EX-32 CFO Certification 2± 10K
EX-14 — Code of Ethics
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EXHIBIT 14.1
CODE OF ETHICS
Avitar Finance Code of Professional Conduct
Avitar Finance's mission includes promotion of professional conduct in the
practice of financial management worldwide. Avitar's Chief Executive Officer
(CEO), Chief Financial Officer (CFO), Controller and other employees of the
finance organization hold an important and elevated role in corporate governance
in that they are uniquely capable and empowered to ensure that all stakeholders'
interests are appropriately balanced, protected and preserved. This Finance Code
of Professional Conduct embodies principles to which we are expected to adhere
and advocate. These tenets for ethical business conduct encompass rules
regarding both individual and peer responsibilities, as well as responsibilities
to Avitar employees, the public and other stakeholders. The CEO, CFO and Finance
organization employees are expected to abide by this Code as well as all
applicable Avitar business conduct standards and policies or guidelines covered
by this Code. Any violations of the Avitar Finance Code of Professional Conduct
may result in disciplinary action, up to and including termination of
employment.
All employees covered by this Finance Code of Professional Conduct will:
o Act with honesty and integrity, avoiding actual or apparent conflicts of
interest in their personal and professional relationships.
o Provide stakeholders with information that is accurate, complete,
objective, fair, relevant, timely and understandable, including in our
filings with and other submissions to the U.S. Securities and Exchange
Commission.
o Comply with rules and regulations of federal, state, provincial and local
governments, and other appropriate private and public regulatory agencies.
o Act in good faith, responsibly, with due care, competence and diligence,
without misrepresenting material facts or allowing one's independent
judgment to be subordinated.
o Respect the confidentiality of information acquired in the course of one's
work except when authorized or otherwise legally obligated to disclose.
o Confidential information acquired in the course of one's work will not be
used for personal advantage.
o Share knowledge and maintain professional skills important and relevant to
stakeholder's needs.
o Proactively promote and be an example of ethical behavior as a responsible
partner among peers, in the work environment and the community.
o Achieve responsible use, control, and stewardship over all Avitar assets
and resources that are employed or entrusted to us.
o Not unduly or fraudulently influence, coerce, manipulate, or mislead any
authorized audit or interfere with any auditor engaged in the performance
of an internal or independent audit of Avitar's financial statements or
accounting books and records.
If you are aware of any suspected or known violations of this Code of
Professional Conduct, the Standards of Business Conduct or other Avitar policies
or guidelines, you have a duty to promptly report such concerns either to your
manager, another responsible member of management or a Human Resources
representative.
If you have a concern about a questionable accounting or auditing matter and
wish to submit the concern confidentially or anonymously to a member of Avitar's
Audit Committee, you may do so by sending an e-mail to Charles R. McCarthy at
cmccarthy@oconnorhannon.com. You may also send a letter or fax reporting your
concern to Charles McCarthy, O'Connor & Hannan LLP, 1666 K Street NW,
Washington, DC 20006, (202) 872-8661 (Fax). .
Avitar will handle all inquiries discretely and make every effort to maintain,
within the limits allowed by law, the confidentiality of anyone requesting
guidance or reporting questionable behavior and/or a compliance concern.
It is Avitar's intention that this Code of Professional Conduct be its written
code of ethics under Section 406 of the Sarbanes-Oxley Act of 2002 complying
with the standards set forth in Securities and Exchange Commission Regulation
S-K Item 406.
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