Compliance

The mission of the Compliance Department is to help ensure that the Firm conducts its business and operations with the highest legal and ethical standards in a manner consistent with its obligations and all applicable laws, rules, and regulations.

We are committed to creating a strong culture of compliance and believe that the following are central to our success:

Prevention
Design policies and procedures to help ensure that the firm’s operations, products, and services meet all legal and regulatory requirements and promote industry best practices.

Monitoring
Periodically review, test, and update processes and procedures to ensure their adequacy and the effectiveness of their implementation.

Education and Training
Communicate legal and regulatory requirements, including the impact such requirements may have on our businesses and our clients, to all personnel across the Firm.

Issue Management
Promptly respond to inquiries; provide guidance on regulatory issues; escalate matters when appropriate; help ensure remediation can occur in a timely manner.

Culture and Values
Promote integrity and ethical values in decision-making across the Firm; encourage personnel to discuss with Compliance any potential problems or concerns.

On-going Improvement
Proactively monitor regulatory developments and industry best practices as part of our commitment to a culture of ongoing improvement.

This commitment to excellence helps us ensure that the Firm remains a leader in ethical and legal conduct.