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Compliance

 

The mission of the Compliance Department is to help ensure that the Firm conducts its business and operations with the highest legal and ethical standards in a manner consistent with its obligations and all applicable laws, rules, and regulations.


We are committed to creating a strong culture of compliance and believe that the following are central to our success:

 

Prevention

Design policies and procedures to help ensure that the firm’s operations, products, and services meet all legal and regulatory requirements and promote industry best practices.

Monitoring

Periodically review, test, and update processes and procedures to ensure their adequacy and the effectiveness of their implementation. 

 

Education and Training

Communicate legal and regulatory requirements, including the impact such requirements may have on our businesses and our clients, to all personnel across the Firm.

Issue Management

Promptly respond to inquiries; provide guidance on regulatory issues; escalate matters when appropriate; help ensure remediation can occur in a timely manner.

Culture and Values

Promote integrity and ethical values in decision-making across the Firm; encourage personnel to discuss with Compliance any potential problems or concerns.

 

On-going Improvement

Proactively monitor regulatory developments and industry best practices as part of our commitment to a culture of ongoing improvement.


"We believe that a strong culture of compliance goes beyond adhering to rules and regulations and must permeate everything we do. To further this goal, we inculcate compliance and ethics into business practices and workflow in order to set the foundation and expectations across our organization."

Robert Saperstein
Global Head of Compliance


 

This commitment to excellence helps us ensure that the Firm remains a leader in ethical and legal conduct.

 




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Guggenheim Investments represents the investment management businesses of Guggenheim Partners, LLC ("Guggenheim"), which includes Security Investors, LLC ("SI"), Guggenheim Funds Investment Advisors, LLC, ("GFIA") and Guggenheim Partners Investment Management ("GPIM") the investment advisers to the referenced funds. Securities offered through Guggenheim Funds Distributors, LLC, an affiliate of Guggenheim, SI, GFIA and GPIM.

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