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ACM Journal - Investment Management
22 Jan

Compliance Corner – Q4 2017 Newsletter

We are in a highly regulated business, which causes a few headaches, but is largely a good thing that offers our clients important protections. There are certain disclosures we are required to make regularly regarding our policies and procedures. A few of them are below:

The nature of our business requires us to obtain sensitive personal and financial information from our clients. As a registered investment adviser with the United States Securities and Exchange Commission (SEC), we must adopt policies and procedures to protect this 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.

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. A copy of this brochure is also available on our website (here). We encourage each of our clients to read it. Please let us know if you would like us to send you a copy.

To Download the complete 2017 Q4 Newsletter please click below.