Compliance

 

Golden Trail Advisers, LLC is a Registered Investment Adviser (RIA). It operates under the rules of the SEC as administered by the State of Illinois through the Illinois Securities Department. Golden Trail Advisers serves clients outside the state of Illinois under reciprocal registration rules.

In addition to Illinois securities laws, Golden Trail Advisers and its employees adhere to rules for life and health insurance, Department of Labor laws for retirement plans, Internal Revenue Service for IRAs and retirement plans and all applicable anti-money laundering rules.

To keep up with regulatory changes, we complete ongoing continuing education, review/update policies and procedures at least annually and maintain a culture of compliance with all industry rules and regulations.