We take great care to position our Dealing Representatives to be aware of the securities requirements established by securities regulators and to provide ongoing training and support. Our continuous compliance updates allow our Dealing Representatives to learn of any changes to regulations while the compliance policies and procedures offer best practice direction and practical tools to help Dealing Representatives remain compliant.
We have a comprehensive risk mitigation process in place to help protect investor capital. Raintree reviews all new products internally. Those that show promise and appear aligned with our values (i.e. investors receive priority treatment in the profit structure), undergo a more rigorous internal review. Those products, which then still appear to be a good fit for our product shelf, are sent for an independent third party review. We use experts in this area and they in turn, rely on a highly competent staff with deep knowledge in many fields. After we receive their written report, we again do an in-depth internal analysis. Then, and only then, do we make the decision whether to offer the product through Raintree Financial Solutions.
Review our Due Diligence Process.