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RCW Staff

Cropped shot of a group of friends using their phones together outdoors
This is a peer's policy for e-mail and other electronic communications
Toy forklift hold letter block D to complete word fraud on wood background
This P&P comes courtesy of SEC Compliance Consultants
US flag flies in front of the US Capitol in Washington DC with cash behind the dome to illustrate coronavirus stimulus payment
Check out a peer's matrix for finding potential political contributions by staff
A peer shares an example of the firm's conflicts questionnaire, issued to staff annually as a way for compliance to spot new potential conflicts of ...
Indian female agent helping client sign the application document
This form is used annually, completed by staff and scoured by compliance to look for new potential conflicts of interest
businessman working with financial report charts, business analytics and KPI, finance concept
This tool could help you with your annual review
Businessman, accounting, calculating, analyzing, charting and graphing income with a modern laptop computer. And strategy ideas
This is an example of a peer's valuation P&P
Middle age handsome grey-haired business man wearing elegant shirt and tie Swearing with hand on chest and open palm, making a loyalty promise oath
This is an example of a certification form you can ask a subadviser to use quarterly to attest that it's abiding by your code of ...
Swear to say truth. Studio shot of sincere happy young brunette woman, raising palm and holding hand on chest, promising to me honest, standing over gray background. Emotions concept
This is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics
Close-up Of Hand With Red Pen Marking A Check Box
This document comes courtesy of National Compliance Services in Delray Beach, Fla. (http://www.ncsonline.com).

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