Compliance & Disclosures
Regulatory documents, made easy to find instead of easy to bury.
Code of Ethics
Our Code of Ethics sets the standard of conduct for everyone at SunCap: client interests come first, personal securities transactions are reported and monitored to prevent conflicts of interest, and material non-public information is handled under strict policy. Any concerns can be reported directly to our Chief Compliance Officer, with protection from retaliation for good-faith reports. The full Code of Ethics is available upon request.
Cyber-Security Policy
SunCap protects client data through documented security governance, encrypted and password-protected devices, secure access controls for cloud-based client information, and regular risk assessments of both physical and cyber threats. We maintain a documented incident response process should an issue ever arise. The full Cyber-Security Policy is available upon request.
Investment Advisory Contract
Our standard advisory agreement outlines the terms of the client relationship, how SunCap is appointed as adviser, whether authority is discretionary or non-discretionary, custodial arrangements, applicable fees, and termination rights, including a five-business-day period to cancel without penalty after signing. A copy of the Investment Advisory Contract is available upon request.