The Optimum Group is a regulated financial institution due to its insurance, reinsurance and investment management operations; compliance is an important aspect of its daily operations.
At Optimum Asset Management, compliance is ensured by a stringent Code of Ethics that places client interests first, associated with the strict monitoring of its application. The Code sets out the control rules which enable members of senior management to:
- Oversee the opening and administration of client accounts
- Supervise personnel
- Ensure compliance with laws and regulations
All employees and members of the senior management team must read and sign the Code of Ethics annually.
A copy of the Code of Ethics is available upon request for investors, market intermediaries and prospective clients.