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Corporate Governance

Working in one of the world's most highly regulated industries, LaVecchia Capital strives for full compliance, in both letter and spirit, with all of the laws and regulations governing its securities industry businesses.

We firmly believe that our commitment to ethical practices and compliance is vital to our long-term success and to our mission of maximizing the value of the company for shareholders.

LaVecchia Capital has clear policies regarding business ethics, insider trading, confidential and proprietary information, investor relations, equal opportunity, sexual harassment, substance abuse and other vital workplace issues. All of our employees are made aware of our policies. To ensure appropriate conduct, employees have access to training, compliance and supervisor review. In addition, employees of regulated subsidiaries are provided with specialized training and are given compliance manuals that cover the particular legal and regulatory environments in which they operate.
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