Compliance is Our Middle Name.
Compliance is more than just the preservation of records to ensure that our firm can survive regulatory, audit and evidentiary scrutiny. It’s a matter of reputation, integrity and control. We take it seriously. Maintaining compliance is tied to the prosperity of our firm.
Compliance involves pro-active decision-making on the part of senior management to choose a high quality compliance solution to efficiently retain, protect, manage and ensure authenticity of records and to implement safeguards and internal supervisory controls ensuring adequate data management and client-focused business practices.
Because we are subject to the regulatory requirements of the SEC, our compliance standards are specifically engineered to provide a total regulatory and legal compliance solution.
We also consistently provide advisor training on fraud protection for our clients.
Additional Resources from the SEC:
- HHM Wealth ADV Part 2-A and 2-B 2019 – downloadable PDF
- Privacy Notice HHM Wealth 2019 – downloadable PDF