A Compliance Culture

Hartland is dedicated to the highest fiduciary standards, both in complying with laws and regulations, and in protecting the integrity of our clients’ account information. We place these issues under the broad category of Compliance, and believe Compliance is intrinsic to our ability to provide top quality and objective advice to our clients. Especially since the financial downturn of the late 2000s, vigilant compliance has become imperative for successful advisory firms.

Our Compliance efforts are headed by a full-time Compliance Officer. This individual is charged with monitoring and implementing our compliance program, including our Code of Ethics, privacy protection, cyber security, and identity theft prevention. Moreover, Hartland demonstrates its commitment through our Center for Fiduciary Excellence standards (CEFEX) certification. CEFEX is an international standards body that provides independent recognition of a firm’s conformity to defined Standards of Practice.

We spend considerable resources on Compliance, which we believe assures our clients that we adhere to the highest fiduciary standards in our industry.


“We go beyond many traditional consultants by providing implementation support for our recommendations.”

  – Anthony M. Saracusa