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RCW Staff

This is a checklist for firms to use when conducting due diligence on new investment products courtesy of Michelle Jacko, CEO of Core Compliance & ...
This is the proposed change to Investment Company Act's books and records rule proposed by the SEC in Nov 2022
This is the SEC's proposed swing pricing rule for certain registered funds that the Commission approved in November 2022
A peer shares policies and procedures around quantitative investing
Click here to download a 7–column chart that you can you to help document your annual review
A peer shares the firm's new cybersecurity policies and procedures
This is a checklist created by Colleen Montemarano, senior consultant at NorthPoint Compliance in Red Bank, N.J.
This is contributed by Lori Duquette, CCO at Western Growers Financial Services in Irvine, Calif.
A peer shares a due diligence document
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