Legal
Licensing & Regulations
Before choosing to partner with LaSalle Asset Management, we encourage you to familiarize yourself with how our firm is regulated, the essential legal documentation required, and the protocols we follow to ensure the security and integrity of your investments.
LaSalle Asset Management is dedicated to offering you competitive investment costs, top-tier execution, and ensuring your funds are held in segregated accounts at reputable financial institutions.
Our Licenses and Regulations
U.S. Regulatory Oversight
LaSalle Asset Management is a registered U.S. investment advisory firm, regulated by the U.S. Securities and Exchange Commission (SEC) and subject to the relevant financial oversight authorities. We adhere to all applicable federal regulations to ensure the security of your investments.
Important Documentation
Before choosing to open an account with LaSalle Asset Management, you should review all of the legal documentation below.
Client Money
LaSalle Asset Management deposits all client funds into segregated Client Trust Accounts as required by U.S. regulations.
HSBC is a British multinational investment bank and financial services holding company. It is the second largest bank in Europe, with total assets of US$2.984 trillion.
National Australia Bank (NAB) is one of the four largest financial institutions in Australia in terms of market capitalisation, earnings and customers. NAB is ranked as one of the top 20 banks in the world measured by market capitalisation and in the top 50 for total assets.
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