Compliance at On Lok

November 3-9 is Corporate Compliance and Ethics Week! We think this is important because the spotlight shines on On Lok's talented Compliance teams and the work they do to keep us on the right side of regulatory issues.

It’s Corporate Compliance and Ethics Week! This week is dedicated to raising awareness, recognizing best practices, and reinforcing our commitment to ethical conduct and compliance with industry regulations and company policies.

You may have seen or heard from us recently while we were out and about conducting privacy rounds, sending out conflict of interest forms, or asking you to complete your training. We would like to thank everyone for their support and commitment to Corporate Compliance.

Here are some ways you can support us:

• Report any potential or actual conflicts of interest.

  While certain employees are required to annually affirm that they have no conflicts of interest, all employees are required to proactively disclose any potential or actual conflicts.

  Please reach out to us if you aren’t sure – we’re available to help.

• Be sure to complete all of your assigned training courses.

  Completing the training courses is important for a variety of reasons, including providing important information and reminders of rules and processes. It’s also one of the first things that regulators may ask for when an incident occurs!

  If you have an idea, question, or comment about training, we welcome your feedback.

• Be aware of Policies and Procedures

  On Lok Central, you can find all of our policies and procedures. We’re pleased to announce that a link to On Lok Central has been added to Okta.

• Ask Questions and Engage With Us:

  You are always welcome to contact us with any questions. I’ll be dropping in on some team meetings this week just to say, “Hi!”

Should you ever encounter a situation or behavior that you believe may violate our company’s compliance policies or ethical standards, we want to hear about it. Reporting compliance issues is an integral part of our commitment to continuous improvement, transparency, and accountability. Your voice matters, and we encourage you to report any concerns you may have.

Here’s how you can report issues:

Mail to: Corporate Compliance Department On Lok 1333 Bush Street San Francisco, CA 94109

Fax: 1-800-783-5876

Call: Corporate Compliance Department 1-628-345-3426

Call the 24/7 Compliance Hotline (managed by another agency outside of On Lok): 1-800-361-4637

Email: compliance@onlok.org

Submit Concerns Online: https://www.mycompliancereport.com/report?cid=LOK