Compliance for Treasury as a Service

Folders with Compliance label
Scott Williams
March 24, 2022

When dealing with financial institutions it is important to consider their compliance programs.  Here at Treasure Financial, compliance is extremely important and tantamount to our success and the success of our customers.  We are constantly and carefully monitoring all rules and regulations, as well as the protection of our customers’ assets and the security of all your data.

Treasure’s compliance program, along with our policies and procedures, were generated based on the 20+ years of experience of our Chief Compliance Officer, with the diligent review and assistance of our outside counsel from Mintz, Levin and Cohn, who has over 80 years of experience in financial services law.

As a SEC registered investment adviser, we have a fiduciary duty to place our customers’ best interests ahead of our own with respect to all business practices.  This means you are number ONE.

We utilize Vanta, an automated compliance and security monitoring platform, to ensure compliance in all departments of the company on an ongoing basis.  Compliance training is part of onboarding and recertified annually

When it comes to compliance we hold ourselves to a high standard. We have recently received certifications of SOC2 & SOC3 with the standards set forth by the American Institute of Certified Public Accountants. A SOC2 certification is considered one of the most rigorous audits that exists to date. This gives our users the confidence that Treasure is effectively following the appropriate security controls to prevent any data breaches and keep your information secure. We have also been GDPR certified (General Data Protection Regulation).  These certifications are all  statements of our commitment to data protection compliance and integrity.

Recently, we recertified our compliance with GIPS (Global Investment Performance Standards), which are a set of standards used by investment managers throughout the world to ensure the full disclosure and fair representation of investment performance.

At Treasure Financial, we strive for a culture of compliance across all departments, employees, contractors and vendors.  We view compliance as our strength enabling us to efficiently build products with confidence while making sure our customers' protection is top of mind.

Scott C. Williams

Chief Compliance Officer, Treasure

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