Providing ongoing assurance of our professionalism is our formalized Code of Ethics, which extends to all professionals having access to non-public information regarding client trades. Additionally, "Access Persons" to whom the Code applies are required annually to certify their understanding of, and compliance with, the Code.

We also have a compliance program to pre-clear personal trades, match personal trading with duplicate confirmations and compare employee trading patterns with the activity of the MTBIA trading desk. These reviews are documented in a written quarterly report which is given to the MTBIA Board of Directors.

Click here to learn more about the MTBIA Compliance Program.