Compliance policy

DeMatteo Monness has been a pioneer in helping to define, establish and refine compliance best practices. As the marketplace and regulatory landscape evolve, so too do the firm’s compliance procedures, earning DeMatteo Monness its reputation as possessing the most current and rigorous compliance policies in the industry.  These practices have been derived and formulated in collaboration with our clients on the basis of their unique compliance needs.  Additionally, the firm continues to invest significant resources in technology development, placing tools in the hands of our clients that enable them to manage resources and monitor usage of our services.

Noel Cheung

Senior Compliance Officer

212.833.9942

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FINRA

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