• 2.1 Compliance Function and Process

    The SAFG Compliance Department is dedicated to fostering a positive, profitable work environment and ensuring the highest standards of integrity and regulatory compliance in delivering financial planning and investment services to clients.

  • 2.2 Compliance Risk Management

    The SAFG Compliance Department aims to ensure regulatory compliance and uphold the highest integrity standards by creating awareness of rules and policies, monitoring adherence, and enforcing compliance through effective oversight in a dynamic regulatory environment.

  • 2.3 Compliance Responsibility and Accountability

    The SAFG Compliance Officer ensures adherence to statutes, policies, and regulations by developing and monitoring compliance programs, setting ethical standards, reviewing transactions, addressing complaints, providing training, and communicating with industry bodies to maintain organizational accountability.

  • 2.4 Internal Investigation Procedures

    SAFG’s compliance regime includes rotational Broker/Agency meetings utilizing the CLH 1A Standardized MGA Compliance Review Survey to assess legislative and policy compliance, review client files, marketing practices, and Broker activities, ensuring statutory supervision and addressing any non-compliance issues.