Supervision
Sanostro AG is registered with and supervised by the U.S. Securities and Exchange Commission (SEC) in its capacity as a Registered Investment Adviser (RIA).
You may view our official Form ADV summary here: https://adviserinfo.sec.gov/firm/summary/290214.
As an SEC-registered investment adviser, Sanostro AG operates under the legal framework of the Investment Advisers Act of 1940 and is subject to ongoing oversight, compliance obligations, and examination by the SEC.
We adhere to the following key standards and requirements:
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Fiduciary duty & anti-fraud obligations — We must act in the best interests of our clients, avoid or fully disclose conflicts of interest, and not engage in misleading or deceptive practices.
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Form ADV & Disclosures — We maintain up-to-date disclosure documents (Parts 1 & 2), which describe our business, fees, conflicts of interest, and disciplinary history.
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Code of Ethics — We have a written code of ethics (per SEC Rule 204A-1) that sets conduct standards, requires reporting of personal securities trades by our personnel, and includes oversight.
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Policies & procedures — We adopt compliance, supervisory, cybersecurity, business continuity, and other policies reasonably designed to prevent violations of securities laws and rules.
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Examination & oversight — The SEC conducts periodic examinations of registered advisers, with a focus on key areas like performance, conflicts, advertising, valuations, and disclosures.
We routinely review and update all disclosures, policies, and website material to maintain accuracy, transparency, and compliance with SEC rules and industry best practices.