745 McClintock Suite 227 Burr Ridge, IL 60527
PH: (630) 581-5627   Fax: (630) 581-5630
Compliance

Borthwick Associates strives to maintain a current, complete and meaningful regulatory compliance program.  We have developed certain plans and procedures to address this ever-changing area of the financial industry.

Part 2A of our Form ADV (now referred to as our Firm Brochure) offers specific information about the size and scope of our business activities.  It follows an industry standard format to allow investors to compare information across several firms.

Click here to view that policy in its entirety.

Our Code of Ethics describes the practices and policies of Borthwick Associates in our primary fiduciary responsibility of rendering clients an investment advisory service based on honesty, good faith and fair dealing.

Click BAI CODE OF ETHICS JANUARY 2010 -PRESENT to view that policy in its entirety.

Our Privacy Policy explains how we use and protect the information our clients and counter parties share with us.

ClickPrivacy Policy – PRIVACY POLICY 51909 to view that policy in its entirety.

Please contact Meg Davidson, Compliance Officer at meg@borthwickassociates.com or Thomas Flaig, President at tom@borthwickassociates.com if you have any comments regarding our compliance program or any other matter.