A culture of integrity, codified and enforced.
Strong compliance is not a constraint on our business. It is a precondition for earning the trust of long-term institutional partners.
Doing the right thing, even when no one is watching.
Integrity is the foundation on which ALRION Pillar Capital is built. Our compliance program exists to protect our partners, our people and the markets in which we operate, and to ensure that the firm's conduct always reflects the principles we espouse.
The standards below are not aspirational. They are documented, attested and enforced, maintained by a Compliance Committee that operates independently of the investing teams and reports directly to the Board.
The policies that govern our conduct.
A structured framework of standards spanning every employee, partner and counterparty relationship.
Code of Conduct
The ethical foundation for every employee, partner and counterparty relationship, defining the standard of integrity we hold ourselves to without exception.
Regulatory Adherence
An active program maintained against evolving rules across securities regulation, fund-marketing and reporting obligations.
Anti-Money-Laundering (AML)
Risk-based controls to detect and prevent money laundering and terrorist financing, including transaction monitoring and sanctions screening.
Know-Your-Customer (KYC)
Rigorous onboarding diligence and beneficial-ownership verification for every investor, refreshed on a risk-weighted schedule.
Conflicts of Interest
Identification, disclosure and independent resolution of actual and potential conflicts, supported by a personal-trading and gifts framework.
Whistleblower Protection
Confidential, retaliation-free channels that empower our people and partners to raise concerns directly to the Compliance Committee.
Personal Account Dealing
Pre-clearance, restricted lists and holding periods govern employee investing to ensure firm and partner interests always come first.
Training & Certification
Mandatory compliance, ethics and conduct training, with role-specific certification tracked and renewed across the firm.
“We hold the capital of others to a higher standard than our own, and we accept that trust, once earned, must be re-earned every single day.”
ALRION Pillar Capital · Compliance Committee
Questions on conduct or compliance?
Our compliance function maintains confidential, retaliation-free channels for raising concerns. Reach our team directly.