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RCW Staff

A peer shares a one-page primer aimed at helping staff understand their responsibilities under the firm's personal trading section of its code of ethics.
The SEC has shared this example of a risk matrix
Ask your reps to attest that they provided you with accurate information
Click here to download a Word file contributed by a peer. This is the firm's acknowledgement form given to parties as part of its efforts ...
This is a sample best execution policy from a peer
A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's books ...
This is an example of a questionnaire you can use to comply with the SEC's so-called bad actors rule. This comes courtesy of the consulting ...
Here are sample guidelines for staff that do broadcast, TV, video and other media interviews. This comes from Core Compliance & Legal Services in San ...
An Excel worksheet risk matrix to aid your annual review
Here's an example of an agreement to share information between parties

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