Complete Scope Of Governance, Oversight and Compliance

Our Commitments


Highest Possible Standards

We believe it is our obligation to set the highest possible standards in every area of our business. CIG Capital Advisors is driven by significant commitments shared by employees. These commitments are embodied in a comprehensive set of values and business practices that help to strengthen our firm. They guide our behavior and dealings with you, employees, partners and other stakeholders. Our dedication to these commitments is demonstrated in the highest quality of service we deliver and in the integrity of our day-to-day conduct.

Continuous Improvement and the Pursuit of Excellence

We relentlessly pursue continuous improvement and excellence by advancing and delivering the highest standards of responsiveness, effectiveness and efficiency. This is reinforced by a commitment to continuous learning and development.


We are committed to attracting and retaining highly qualified individuals. Providing them with opportunities to progress and pursue excellence, so we can continue to be a driving force behind the decisions that make a difference to your success.

Governance and Oversight

We have developed an effective governance operating model consisting of 3 key components

1. Culture – which enable the behaviors and activities needed for effective governance by establishing:

  • Core values
  • Continuous improvement philosophy
  • Business operating principles
  • Accountability at all levels
  • Employee management and performance measurement
  • Continual development and communication with staff

2. Infrastructure – which provides a governance framework for consistent scalable day to day operations:

  • Compliance department
  • Investment management committee
  • Risk management committee
  • Policies and procedures
  • IT and communications support
  • Reporting structure of employees
  • Committee structures and control

3. Responsibilities – which define specific oversight activities and obligations:

  • Compliance department
    – Analyze if current systems are adequate & effective
    – Assessment of risk and analysis of business
    – Regulatory filing and licensing requirements monitoring
  • Governance Committees
    – Explore opportunities to protect and enhance wealth
    – Review capital markets and client portfolios