Compliance
We value and appreciate the trust our clients have placed in Westwood, and we strive to maintain that trust every day. It is our long-standing history of seeking to mitigate risk in everything we do.
We have always operated our business in one way – with absolute transparency – in our business plan, financial statements, compliance policies, asset management services, and most importantly, our clients’ investments.
Westwood is best characterized by:
- Honesty and integrity in our relationships with all our stakeholders
- A conservative investment approach
- Multiple layers of internal and external oversight, compliance and regulation
- Conservative, transparent business management
Multiple Layers of Oversight
As a publicly traded company, a registered investment advisor, and a state-chartered trust company, Westwood is subject to multiple regulations, audits, and examinations, including:
- Sarbanes-Oxley
- New York Stock Exchange
- Securities and Exchange Commission
- Texas Department of Banking
WHG financials are audited quarterly by Grant Thornton, and composite performance is audited by PriceWaterhouse Coopers.
Stable Business Management
Westwood Holdings Group is a conservatively managed company.
- Full transparency of financials through quarterly SEC filings
- Liquid balance sheet with no debt
- At least one year's worth of operating expense held in cash
- Does NOT employ leverage, take deposits, or make loans