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RCW Staff

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
Use this form to survey staff on their use of social media
Annually sample the fees of your competitors by using the IAPD's ability to search within 25 miles of your ZIP Code
This is a cybersecurity checklist shared with permission of ISO Services
Take some ideas from one of your peer's gifts and entertainment policies
Proxy Voting
A peer has shared a copy of the firm's proxy voting guidelines

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