We are committed to creating a strong culture of compliance and believe that the following are central to our success:
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.
Periodically review, test, and update processes and procedures to ensure their adequacy and the effectiveness of their implementation.
Communicate legal and regulatory requirements, including the impact such requirements may have on our businesses and our clients, to all personnel across the Firm.
Promptly respond to inquiries; provide guidance on regulatory issues; escalate matters when appropriate; help ensure remediation can occur in a timely manner.
Promote integrity and ethical values in decision-making across the Firm; encourage personnel to discuss with Compliance any potential problems or concerns.
Proactively monitor regulatory developments and industry best practices as part of our commitment to a culture of ongoing improvement.
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Innovative Solutions. Enduring Values. are registered trademarks of Guggenheim Capital, LLC.
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