LOM Financial Ltd. - Page 16

LOM is an award-winning financial services firm that has been recognized by a number of leading
international organizations. In 2017 LOM received the Global Banking & Finance Review award for
Best Wealth Management Company Bermuda. Our products also include award winning 5 star
Morningstar rated mutual funds. We take our clients’ security and privacy seriously. We go to great
lengths to safeguard your assets and your information from the minute you are accepted as a client.
Safety & Security
LOM’s Compliance and Finance departments monitor the Group’s activities and implement policies
and procedures necessary to protect both the firm and its clients and to ensure compliance with relevant
regulations and industry standards. The departments manage counterparty risk, internal audit, internal
controls and security matters, client credit and margin lending, client account documentation and due
diligence, anti-money laundering and anti-terrorist financing policies and procedures, legal matters,
reconciliations, risk management and compliance with government and industry regulations. We have
committed substantial resources towards ensuring your account security and safety.
Custody & Security of Assets
LOM uses an international network of top-tier global banks for the sub-custody of client assets. All client
assets are held in trust on behalf of customers. Client cash and assets are segregated on LOM’s books,
which are reconciled daily and regularly audited. Unlike a bank, client cash and assets are not carried on
LOM’s balance sheet. LOM accounts for and tracks client assets through its investment management
software, developed by a leading provider for the London financial community, and is independently
audited on an annual basis to ensure separation of assets. We are also able to arrange a special
segregated account with one of our custodians, State Street Bank & Trust Company, for client
accounts greater than USD$25,000,000.


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