Ethical Responsibility

Business ethics

Since its founding over 30 years ago, SGIA has always stressed the importance of adhering to the highest standards of professional and personal conduct.  Our goal is to ensure that the management of our clients’ assets is our primary focus.  The firm has adopted a Code of Ethics which addresses firm-wide compliance and also defines the standards that apply to each employee including but not limited to business conduct, employee trading, contributions/gifts and outside business activities. To minimize the possibility of any conflicts of interest, SGIA has procedures in place that require employees to formally report, and in many cases receive preapproval on, certain activities such as personal securities transactions, political contributions and gifts and entertainment. All employees at SGIA are required to certify that they understand this Code of Ethics and recognize that they are subject to its provisions on an annual basis. The firm’s Compliance Department is responsible for monitoring adherence to these policies and procedures and maintains systems which enhance their oversight activities.

Legal and Compliance

We at SGIA believe it is essential to understand compliance issues and ensure adherence to all applicable laws and regulations.  Through the firm’s carefully designed policies and procedures, we strive to create a working culture that proactively monitors and addresses the evolving regulatory environment.  Our compliance team works closely with our investment and marketing teams to ensure that the firm is following not only the letter, but the spirit of government regulations, especially as they apply to our clients.

Since 2001, the firm has claimed GIPS compliance and our investment returns fully conform to the CFA Institute’s GIPS standards and have been independently verified by a third party.

Personal integrity

Our employees are the core of the firm’s success. We are committed to seeking the most qualified candidates with the strongest experience across the financial services industry. When identifying and attracting talent to the firm, we look for individuals who share and embrace our strong sense of responsibility, pride of purpose, have the highest standards of integrity and who are committed to working to fulfill the firm’s goal of excellence. 

Information security, cyber security policy, business continuity

In order to protect the interests of our clients, our organization and employees from any disruption, the firm has both a detailed Business Continuity Plan and Cyber Security Policy.  To strengthen our resources in these areas, SGIA utilizes the services of several technology consulting firms to advise and assist the firm with its technology and cyber securities procedures and protocols.   

Training & education

In its ongoing efforts to develop and support talent and lifelong learning, the firm encourages employees who wish to engage in additional training, continuing education and/or participation in industry related conferences through tuition reimbursements or flexible scheduling.