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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
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