Ethical Responsibility

Business ethics:

Since its founding over 30 years ago, Smith Graham 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 defines the standards that apply to each employee including but not limited to business conduct, employee trading, contributions/gifts and outside business 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. 

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, Smith Graham 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 support talent and lifelong learning, the firm offer those employees who wish to engage in additional training, continuing education and/or participation in industry related conferences tuition reimbursements and/or flexibility in scheduling.