SAFETY & SECURITY
Since 2009, ADM has employed rigorous security and compliance standards to make sure your assets and information are protected.
ADM’S COMPREHENSIVE COMPLIANCE STANDARDS
ADM takes great pride in the thoroughness of our internal policies and procedures to monitor cyber security to protect funds managed.
In today’s environment, where cyber threats and data breaches are real and costly risks, partnering with a service provider who has rigorous compliance and risk management controls in place adds a layer of protection and confidence. These measures not only strengthen internal practices but also enhances ADM’s ability to meet client-specific security requirements. For our clients, this translates into peace of mind, smoother operations, and a long-term partnership with a firm that prioritizes security and accountability at every level.
ADM’s comprehensive compliance standards not only set us apart from the competition but also demonstrate our steadfast commitment to security and trust. Choosing ADM means partnering with a team dedicated to ensuring the safety of your funds and personal/organizational data.
AUDIT COMMITTEE
ADM’s leadership team and compliance standards is strengthened by a board-appointed audit committee that ensures the integrity of financial reporting, compliance with MSRB and SEC regulations, and the protection of sensitive client information. Committed to upholding legal and regulatory standards, the committee provides oversight and strategic guidance. Members include:
JENNIFER WIETECKI
Chair – Managing Director, Risk and Investor Relations, O’Brien Staley Partners
JACQUI DORSEY
Member – Principal, Moersch, Dorsey & Hahn, P.A.
KRISTINE MACKEY
Member – Senior Vice President, First Bank & Trust of Illinois
Additional Compliance Measures
SOC 2 TYPE 1 AUDIT
This audit is an extensive third-party examination that evaluates the effectiveness of our internal controls.
It’s a months-long proof that an organization’s security and operational controls are both well-designed and consistently followed in the real world. Undergoing this process demonstrates ADM’s commitment to operating with the highest standards of security and transparency. The SOC 2 Type 1 report offers independent assurance that your organization’s data will be handled with care, vigilance, and integrity.
RULE G-44 AUDIT
This audit is conducted yearly in accordance with the Municipal Securities Rulemaking Board (“MSRB”) to help ensure that municipal advisors operate in a responsible, transparent, and compliant manner.
MSRB Rule G-44 requires Municipal Advisory Principals to:
- Have a system for supervising their work to make sure it follows all relevant rules
- Put that system in writing
- Assign experienced staff (called municipal advisory principals) to oversee the supervision
- Appoint a Chief Compliance Officer (CCO) to run the compliance program
BUSINESS CONTINUITY PLAN
The guidance recommends that companies regularly review and test their BCPs to make sure they’re ready for:
- Widespread disruptions, such as needing to work remotely
- Having backup or alternate work locations
- Making sure key vendors and service providers also have solid BCPs in place
- Ensuring reliable technology and communication tools
- Keeping open and clear communication with clients, staff, and partners
- Staying compliant with any new regulations
- Testing all aspects of the plan regularly
KYC/AML/BSA
Our policy and procedures are designed to follow bank standard KYC/BSA processes, enhancing the safety and stability of clients we are working with. By adhering to these standards you can effectively mitigate the risk associated with financial crime, safeguard customer assets, and uphold regulatory requirements.
