Compliance

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:

 

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