Compliance
TRECAP Partners employs a rigorous compliance program to ensure that the company‘s Board of Directors, management and employees are in compliance with the rules and regulations of the regulatory agencies and that appropriate principles of management and control are observed in implementing its policies and procedures. The firm provides appropriate training and access to information to ensure employees have an understanding and consistency of best business practices that reflect and fulfill their fiduciary duties and responsibilities to our clients.
The interest of the company’s client must always come first and it is the Compliance Program’s role to maintain an effective firm-wide culture of compliance. The development of a sustainable Compliance Program, which provides confidence in business operations from an employee, client and SEC perspective, is an important building block in the success and growth of our business.