Compliance

Compliance is paramount to Phillips & Cohen Associates and our commitment is underlined by including it as one of our four company values. We firmly believe that Compliance puts us under a duty to make the right decisions and consider the consequences of our actions. Our team continuously monitors the regulatory environment in which we operate to ensure we provide a compliant and best in class service to everyone that we interact with. In addition, our team professionally addresses all customer complaints and we use the feedback to continuously improve the customer experience we provide.

As part of our on-going efforts to put the customer at the heart of our business, we are committed to continuous improvement and to identifying, managing and controlling conduct risks. To achieve this, our leadership teams are fully engaged in risk committees and forums designed to consider customer outcomes.

Our business adheres to all applicable regulatory requirements and codes of conduct.  Our leadership plays an active role in national and international trade associations in an effort to drive and share best practices cross industry.  We look forward to continuing our commitment to fair customer outcomes through our values, policies, processes and people.