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Conduct & Compliance

Conduct & Compliance

We have a basic saying: collaborate and cooperate for success, but never compromise values — ever. When working with our partners, we do deep-dive research, understanding your model, compliance structure and relationships in advance, whenever possible.

  • Guidelines Assessment

    We will work with the team, if applicable, to identify your current guidelines and determine what areas should be enhanced on either side to employ a team approach.

  • Code of Conduct & Conflicts of Interest

    All employees are subject to a Code of Conduct which sets forth our expectations relating to the ethical conduct of its employees. Any conflict of interest is disclosed immediately when recognized. If we believe the conflict is such that we should not be involved in the process, we will make that recommendation.

  • Case Appropriateness Evaluation

    We will review each case that comes in and make a determination to appropriateness.

  • Management Escalation for Suitability

    Case submissions that meet certain parameters will be escalated to management for additional review and screening. This is to ensure that all suitability requirements have been met prior to submitting the case to a carrier for processing. Items that may fit into this category include but are not limited to, policies that entail large face amounts, complex ownership structures, very aggressive or non-traditional products, financing, etc.

  • Application Review and Status Updates

    Application packages and case design consultations are provided. Once received, all applications are reviewed for good order status prior to being sent to the carrier. Producers/firms are updated and notified proactively if there are outstanding requirements and updated on the status of the case overall. 1035 exchanges are tracked to ensure timely receipt by the receiving carrier. Should there be an issue, there is also a dedicated resource team available to resolve the problem in a timely fashion.

*Support for Broker-Dealers and broker-dealer-related products is available. Please contact us for those details. Additionally, we have support for fee-only products for RIAs that do not accept commissions.

The disaster recovery (DR) plan is a formalized plan which is closely coupled with the Business Continuity Plan (BCP). The DR plan is exercised regularly to determine effectiveness, document issues, and tested for remediation. A DR team meets every other week to discuss the health of backups, any issues, and resolutions completed. The DR and BCP are reviewed and exercised in enterprise tabletop exercises as well.

The cyber security elements are built with a defense-in-depth methodology framed in the NIST Common Cyber Framework (CSF) lead by a Chief Information Security Officer. All elements are baselined with a full CSF based risk assessment and documented in risk register. Tooling consists of next generation end point detection (EDR), Security Information and Event Monitoring (SEIM) which are fully managed. Numerous detection and prevention tools are in place and report into the SEIM and Security Operations Center (SOC) which has active 24/7 monitoring. Yearly reviews and audits are conducted on tools, access controls and levels, along with external audits for privacy, penetration and other areas. Constant vulnerability scanning is in place with a weekly patching cadence with the exception of critical CVE vulnerabilities patched as soon as possible. Policies and procedures for IT, Security, IR, BCP, and other areas are in process of standardization in accordance with the CSF and best industry practices. A robust vendor management program and due diligence component is in place to ensure vendors meet all required standards.

Data facilities are a hybrid with a cloud-first focus for reliability and business continuity in mind. The on-premises locations are co-location data centers with numerous accreditations including SOC2T2. These data storage locations fall under all corporate policies and procedures.

Securities and Investment Advisory Services offered through The Leaders Group, Inc. Securities Dealer, Member FINRA/SIPC; TLG Advisors, Inc. Registered Investment Advisor; 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120. 303-797-9080. EPICVanbridge LLC is not affiliated with The Leaders Group, Inc. or TLG Advisors, Inc.