Compliance Philosophy

Our Mission

We strive to promote a culture of compliance that harmonizes with the Partners’ business and builds customer trust.

Compliance plays a critical role in the mutual fund industry. A successful culture of compliance is achieved when the Partners have a compliant practice that builds client trust and reduces risk exposure. It is our objective to continue to foster such a culture in order to conduct business in a way that is ethical and transparent.

Compliance with Transparency and Quality

Exceptional compliance can only be achieved with exceptional service.

Our head office compliance structure complements the independence of our Partners’ businesses. Our Compliance Officers will take the time to learn and understand your business. We will help you build a strong and fair culture of compliance within your established practice. We will always provide full compliance support. We will assist you with all compliance matters and ensure you are equipped to navigate our industry’s regulatory regime.

Our compliance policies and procedures are clearly documented in our Compliance Policy and Procedures Manual. Overview training and pre-audits are also available to help new Partners understand and become familiar with internal policies and procedures.

Our Business Is Your Success