HOME FIRM GUGGENHEIM COMPLIANCE Our Firm 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. Subscribe to Our Perspectives Follow us OUR FIRM Sustainability News Press Releases Firm Overview Heritage Guiding Principles Careers Compliance OUR PRODUCTS Mutual Funds Unit Investment Trusts Closed-End Funds Guggenheim Credit Income Fund Variable Insurance Funds Indices OUR PERSPECTIVES Global CIO Outlook Macroeconomic Research Sector Views Portfolio Strategy Weekly Viewpoint Video & Podcasts SERVICES Customer Service My Account Contact Us Literature PRIVACY POLICY BUSINESS CONTINUITY LEGAL INFORMATION Read a prospectus and summary prospectus (if available) carefully before investing. It contains the investment objective, risks charges, expenses and the other information, which should be considered carefully before investing. To obtain a prospectus and summary prospectus (if available) click here or call 800.820.0888. Investing involves risk, including the possible loss of principal. *Assets under management is as of 9.30.2021 and includes leverage of $17.9bn. Guggenheim Investments represents the following affiliated investment management businesses of Guggenheim Partners, LLC: Guggenheim Partners Investment Management, LLC, Security Investors, LLC, Guggenheim Funds Distributors, LLC, Guggenheim Funds Investment Advisors, LLC, Guggenheim Corporate Funding, LLC, Guggenheim Partners Europe Limited, Guggenheim Partners Fund Management (Europe) Limited, Guggenheim Partners Japan Limited, GS GAMMA Advisors, LLC, and Guggenheim Partners India Management. Securities offered through Guggenheim Funds Distributors, LLC. © 2021 Guggenheim Investments. All rights reserved. Research our firm with FINRA Broker Check. • Not FDIC Insured • No Bank Guarantee • May Lose Value This website is directed to and intended for use by citizens or residents of the United States of America only. The material provided on this website is not intended as a recommendation or as investment advice of any kind, including in connection with rollovers, transfers, and distributions. Such material is not provided in a fiduciary capacity, may not be relied upon for or in connection with the making of investment decisions, and does not constitute a solicitation of an offer to buy or sell securities. All content has been provided for informational or educational purposes only and is not intended to be and should not be construed as legal or tax advice and/or a legal opinion. Always consult a financial, tax and/or legal professional regarding your specific situation. Investing involves risk, including the possible loss of principal. We use cookies on our site. You may control whether and how your browser accepts cookies; please see your browser help documentation for more information. To learn more about the information we collect and how we use it, view our Privacy Policy. OK