Compliance
Our commitment to regulatory standards and ethical practices
Regulatory Compliance
Sky-Midwest Capital adheres to all applicable federal and state securities laws and regulations. We are committed to maintaining the highest standards of compliance with SEC, FINRA, and state regulatory requirements.
Code of Ethics
Our Code of Ethics guides our business conduct and establishes procedures to ensure our fiduciary duty to clients is fulfilled. All employees are required to acknowledge and comply with our ethical standards.
Client Protection
We maintain comprehensive policies and procedures designed to protect client information and assets. Our privacy practices comply with Regulation S-P and other applicable privacy regulations.
Supervision & Training
Our compliance program includes regular training for all personnel and ongoing supervision of advisory activities. We conduct periodic reviews to ensure adherence to our policies and regulatory requirements.
For questions about our compliance program or to report concerns, please contact our Chief Compliance Officer at +1 (901) 399-9712.