QI Advisors

Compliance

Commitment to Compliance

Q I Advisors Compliance team is responsible for advising employees on continued compliance with their regulatory obligations, as well as regularly monitoring those obligations.

All employees are required to certify their understanding of and compliance with the contents of our internal Compliance Manual and policies, including the Code of Ethics.

Above all, we expect everyone at Q I Advisors to adhere to the highest standards of compliance in their everyday working practices, identifying and managing conflicts of interest to having open and transparent relationships with colleagues, clients and regulators.

GENERAL STATEMENT ON OBSERVANCE OF ANTI-MONEY LAUNDERING REQUIREMENTS

Q I Advisors implements an anti-money laundering (AML) program that is designed to comply with the required anti-money laundering rules as a minimum standard as well as with all local laws, regulations, and guidance relating to the prevention of money laundering, terrorist financing, and related financial crimes.

These include written policies and procedures, regular training for relevant employees, and an independent audit to test the implementation of the program.

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