Legal

TO HELP THE GOVERNMENT FIGHT THE FUNDING OF TERRORISM AND MONEY LAUNDERING ACTIVITIES, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account or receives funds.

What this means for you:
When you are a client of Ascentage Advisors, we will ask for the name, address, date of birth of business owners and other information regarding your company that will allow us to properly identify you. We may also ask for other identifying documents.

Business Continuity Plan

Our “Business Continuity Plan” has been created to meet the requirements described in FINRA Rules 3510 and 3520. The Business Continuity Plan is designed to enable our firm to meet its obligations to clients in the event of a Significant Business Disruption. Click here for a summary of the Plan.