Janiczek’s View on Compliance
Compliance. According to Merriam-Webster dictionary it means: the act or process of complying to a desire, demand, proposal, or regimen…; conformity in fulfilling official requirements. It’s one of the most important words in the world of Registered Investment Advisers (RIAs). It’s one of the most important fiduciary responsibilities for an RIA.
Our ability as a firm to adhere to laws, regulations, guidelines and specifics as dictated by the Security and Exchange Commission (SEC) is a big contributor to the success of our company. We pride ourselves on having the proper tools and disciplines in place such as a Chief Compliance Officer and support team who review, edit and update various mandatory tasks throughout the calendar year. We use a sophisticated compliance software program that keeps us organized and on track to enact and document our compliance.
We have on retainer one of the best compliance attorneys, specializing in registered investment advisers, in the country. We continually seek to educate ourselves on the ongoing issues and solutions in the compliance world. Our aim is to be 100% compliant 100% of the time, utilizing compliance regulations as a tool to better serve and protect our clients from threats such as identity theft, cyber-crimes and natural disasters.