C1W’s Compliance Manual is tailored to our specific business and compliance needs. The Manual provide the Firm and its advisors with an awareness and understanding of the requirements

of certain applicable federal securities laws, rules and regulations governing investment advisory activities, and in turn, enable C1W to effectively comply with such requirements.

C1W's Code of Ethics (the “Code”) sets forth standards of conduct expected for any partner, officer, director (or other person occupying a similar status or performing similar functions), or employee of CreativeOne Wealth, LLC (“C1W'' or the “Firm”), or any other person who provides investment advice on behalf of C1W and is subject to the Firm’s supervision and control.  The Code reflects C1W’s and each affiliated individual's fiduciary duty to the Firm’s Clients. The Code also addresses certain possible conflicts of interest and includes affiliated individual's requirement to disclosure personal brokerage accounts for monitoring. The Code should be read in conjunction with C1W’s Compliance Manual.

C1W recognizes and appreciates that our investment adviser representatives (“IARs") own and operate independent financial services practices. We are nonetheless still responsible for ensuring that certain controls and safeguards are in place to reasonably prevent cybersecurity threats to our clients’ non-public information as described above. To this end, we have implemented this  Cybersecurity Field Manual that sets minimum cybersecurity measures to be enacted by all CreativeOne Wealth IARs and any Administrative Staff within their office and/or under their supervision who also have access to clients’ non-public information.

C1W's Business Continuity Plan ("BCP")   is designed to meet its exsiting obligations to clients should there be a significant business disruption. Our BCP addresses safeguarding our employees' lives and firm property; insuring data back up and recovery; restoring mission-critical systems as well as critical regulatory and operational activities. We encourage each Investment Advisor Representative create their own Business Continuity Plan for their independently run office. 

Are you wanting to hire an individual to join your office as an advisor. This policy outlines the qualifications and next steps to take.