Compliance Program Overview

At 18 Asset Management, we believe that investing with a boutique firm does not mean having to lower your standards when it comes to compliance. We pride ourselves in being a boutique investment firm with a robust compliance system.  Evidence of 18 AM's dedication to upholding compliance in the workplace include our:

  • Resource commitment to the program by properly staffing the position with our in-house lawyer who administers the Compliance Program.
  • Fostering a culture of compliance enabling each employee to understand and adhere to a strong Code of Ethics.
  • Compliance Manual having a broad range of activities and topics. See the Table of Contents.
  • Proprietary system that measures, monitors and audits our compliance activity.
  • Philosophy of eliminating potential conflicts, where possible, such as our:
    • Prohibition of the use of soft dollars.
    • Prohibition on personal trading.
  • Involvement in the Portfolio Management Association of Canada's Chief Compliance Officers' Network.
  • Adherence to National Instrument 24-101 Trade Matching and Settlement. View trade matching statement.

18 Asset Management claims compliance with the Global Investment Performance Standards (GIPS). For a copy of a presentation that complies with the GIPS standards and/or the firm’s list of composite descriptions, please email compliance@18assetmanagement.com