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RCW Staff

This is an example of a form employees would sign annually attesting that they acknowledge receipt of compliance materials
This is an example of a code of ethics from a dually-registered firm
Provides for compensation to the investment adviser on the basis of a share of the capital gains
This is a trading practices risk matrix shared here with permission of the firm that created it
Use this form to help you comply with the SEC's pay-to-play rule
This tool can help you test compliance with cross trade rules
These are the SEC's instructions for completing the Form ADV brochure
These are the instructions for filling out the Form ADV, Part 1
This annual employee questionnaire comes from a peer
A peer's checklist for use by compliance staff to assess if a proxy vote would run into a conflict with the firm. This includes procedures ...

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