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 email@example.com