Criminal Activity Policy

At HC Securities & Investment, we are committed to maintaining a safe and ethical workplace for our employees and clients. As part of this commitment, we have a zero-tolerance policy towards criminal activity, including fraud, theft, money laundering, and other illegal activities.

Our criminal activity policy is designed to protect our clients and our business from potential harm. We take all reports of criminal activity seriously and investigate them thoroughly. We also work closely with law enforcement agencies and regulatory bodies to ensure that any criminal activity is prosecuted to the fullest extent of the law.

Our criminal activity policy applies to all employees, contractors, and agents ofHC Securities & Investment, as well as any clients or vendors who interact with our business. We require all individuals associated with our business to comply with all applicable laws and regulations related to criminal activity, and to report any suspected criminal activity immediately.

Examples of criminal activity that are strictly prohibited include:

Fraudulent activity, including falsifying records, misrepresenting information, or embezzlement

Theft or misappropriation of company assets or intellectual property

Money laundering or other illegal financial transactions

Bribery or other corrupt practices

Insider trading or other securities violations

Cybercrime or other forms of computer-related crime

We encourage all employees and clients to report any suspected criminal activity immediately to our compliance team. We take all reports seriously and will investigate them thoroughly. We also protect whistleblowers from retaliation or discrimination for reporting any suspected criminal activity in good faith.

In addition to our criminal activity policy, we also have a Code of Conduct that outlines our expectations for ethical behavior from all individuals associated with our business. Our Code of Conduct emphasizes the importance of honesty, integrity, and transparency in all business dealings, and outlines specific guidelines for avoiding conflicts of interest and maintaining client confidentiality.

We believe that a strong commitment to ethical behavior is essential to building and maintaining trust with our clients and employees. Our criminal activity policy is just one of the ways we demonstrate this commitment.

We also regularly train our employees and contractors on our criminal activity policy, as well as other compliance and ethics-related topics. We believe that education and training are essential to promoting a culture of ethical behavior within our business.

At HC Securities & Investment, we are committed to maintaining a safe and ethical workplace for our employees and clients. Our criminal activity policy is just one of the ways we demonstrate this commitment. We take all reports of criminal activity seriously and will investigate them thoroughly. We encourage all employees and clients to report any suspected criminal activity immediately, and we protect whistleblowers from retaliation or discrimination.