RCW Staff
This is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics
This document comes courtesy of National Compliance Services in Delray Beach, Fla. (http://www.ncsonline.com).
A peer shares an example of a non-disclosure agreement
This is a so-called mutual non-disclosure agreement, which means the non-disclosure terms apply to both parties to the agreement
This is a policy for dealing with researchers, consultants or expert networks. This comes courtesy of CCO Kathlyne Kiaie.
This is a procedure for talking with researchers, consultants and expert witnesses. This comes courtesy of CCO Kathlyne Kiaie.
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 checklist for firms to use when conducting due diligence on new investment products courtesy of Michelle Jacko, CEO of Core Compliance & ...
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
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