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RCW Staff

Proxy Voting
A peer has shared a copy of the firm's proxy voting guidelines
This guide was designed to help private fund advisers with their annual review. It comes courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, ...
Be sure to change keywords based on events
This is an example of a trade ticket submitted by a peer
An Excel file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. The worksheets within this Excel file are designed to help you ...
This is a sample annual employee questionnaire, which comes courtesy of Core Compliance & Legal Services in San Diego
Use this form to investigate new investment products
A peer shares a sample trade allocation policy
The SEC's Form PF
Take a tour of the new RCW website
Check out this sample of a best execution policy
A compliance program risk and gap analysis tool courtesy of Krista Zipfel in Newport Beach, Calif.
RELEASE Number 8062-19 October 24, 2019   CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Washington, DC – The U.S. ...
SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...
SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme Litigation Release No. 24649 / October 22, 2019 Securities and Exchange ...
The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...
Revised no-action position with respect to uncleared swaps with the European Stability Mechanism under Commission Regulations 23.150-159, 23.161.
Alleged Fraudster Sentenced to 22 Years in Parallel Criminal Case Litigation Release No. 24645 / October 16, 2019 Securities and Exchange Commission v. Kevin B. ...
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