It is the Firms philosophy that compliance is a principle to be adhered to in all transactions - a suitable investment, meeting a qualified client's investment objectives, explained with full disclosure of all risks. Our goal is long term relationships with both our representatives and clients. It is against Firm policy to solicit the purchase or sale of designated securities or securities not listed on a recognized exchange.
The Compliance Department of Stephen A. Kohn & Associates, Ltd. is charged with the responsibility of coordinating blue sky research, broker/dealer registrations, registered representative registrations, continuing education, customer complaints, customer complaint resolution, and client account approvals.
In addition, all accounts are screened as mandated by the USAPatriot Act and all Anti-Money Laundering (AML) guidelines are observed. FinCEN System 314(a) inquiries are promptly reviewed in accordance with recommended reporting standards.