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ACM Journal - Investment Management
21 Apr

Compliance Corner – Q1 2021 Newsletter

We are in a highly regulated business, which causes a few headaches, but also offers our clients important protections. There are certain disclosures that we are required to make regularly regarding our policies and procedures, including:

As a registered investment adviser with the United States Securities and Exchange Commission (SEC), we must adopt policies and procedures to protect clients’ nonpublic, personal information. Our policy mandates that ACM employees are prohibited from disclosing nonpublic, personal information to any person or entity outside of our firm, except as authorized by our clients or an appropriate regulatory institution. We also take all reasonable measures to ensure secure transfer and/or disposal of documents containing sensitive information about our clients. You will receive a copy of our full privacy policy either via mail or uploaded to your client portal. It is also always available on our website.

Additionally, registered investment advisors are required to file Form ADV with the SEC or state securities regulators on an annual basis. A copy of our updated Form ADV is available at any time upon request, or it may be downloaded from our website.  We encourage each of you to read it. Please let us know if you would like us to send you a copy.

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