We promote good compliance by training, educating and communicating to all employees and sales agents in an on-going manner.
Any investments administered are held in client name. All transactions, financial and non-financial are verified for compliance, for authenticity, and investment objectives. All client correspondence is maintained in a secure environment and only designated staff has access to client confidential information.
We believe that compliance is everyone’s duty and that thorough compliance is best done when the process is part of an integrated control structure.
Many different support functions and individuals working together with all lines of business personnel are necessary for thorough and effective compliance. Compliance monitoring activities are integrated into existing organizational processes and become part of our regular business tasks and activities performed by all personnel.