Compliance Risk Management

The strategic objectives of the Compliance Department are:

• To assist Brokers and Employees in their roles to ensure proper regulatory compliance by SAFG; and
• To maintain the highest standards of integrity by SAFG, its Brokers, and Employees in dealing with clients.

The Compliance Department must ensure that there is effective control over regulatory and compliance issues. An ever-changing regulatory environment makes it imperative that SAFG have, and be perceived to have, a structured and working system in place to ensure that Brokers, Employees, and our clients do not breach any industry rules or regulations.

These critical objectives are embodied in three guiding principles:

1. Create awareness of industry rules and regulations and SAFG policies to all Brokers and Employees.
2. Monitor adherence to ensure that there is effective control by the Compliance Officer and;
3. Ensure enforcement of compliance policies and guidelines by those responsible for supervision.