Our investors are Victory Capital’s most important stakeholders. Producing high- quality investment products that are suitable to meet their goals and offering them exceptional service are important to our company.
Nikhil Sudan, CFA
President, Direct Investor Business
Transparent information and fair advice
We strive to communicate with customers about the risk and suitability of the products and services we offer and inform them about available investment alternatives. We seek to disclose perceived, possible, or potential conflicts of interest in a clear and transparent manner.
We comply with the rules and regulations promulgated under the many and various securities laws that gov- ern investment advisors and broker-dealers. Our internal policies detail specific guidelines and review processes that are designed to ensure our communications with the public are clear, fair and balanced, include appropriate disclosures, and are compliant with all applicable regulations. All marketing communications are reviewed and approved in advance of dissemination.
Individuals on our product distribution teams undergo extensive background checks and are licensed through the Financial Industry Regulatory Authority (FINRA). We are dedicated to maintaining an educated, competent, and ethical sales force.
Victory Capital also complies with all applicable provisions of the Employee Retirement Income Security Act of 1974 (ERISA) regarding transactions in employee benefit accounts.
In 2021, we launched VictoryVirtual, a new series of webinars to share with investors our perspectives on the markets and investing. Registration and attendance have grown dramatically. This is significant because these very interactive events give us an opportunity to engage with investors in a more personal manner than written reports or email.
Head of Sales, Direct Investor Business