OUR FIRM OUR SERVICES OUR PERSPECTIVES CLIENT LOGIN 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. This commitment to excellence helps us ensure that the Firm remains a leader in ethical and legal conduct. 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 <p>Your browser does not support iframes.</p> OUR FIRM Heritage Guiding Principles News Leadership Diversity and Inclusion Corporate Social Responsibility Careers Compliance OUR SERVICES Investments Securities Insurance Services OUR PERSPECTIVES Global CIO Outlook Macroeconomic Research Portfolio Strategy Sector Views Video & Podcasts CONTACT US TERMS & CONDITIONS PRIVACY POLICY © 2021 Guggenheim Partners, LLC. All rights reserved. Guggenheim, Guggenheim Partners and Innovative Solutions. Enduring Values. are registered trademarks of Guggenheim Capital, LLC. 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