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RCW Staff

This is the Advisers Act's books and records rule
A peer shares a copy of the firm's conflicts inventory worksheet
The Commission has even fined firms for failing to produce e-mails when the SEC has requested them
Most advisers deal with this prospect by asking the client who the adviser should turn to if these issues arise. A conservator or an attorney ...
You can pass out the flashiest compliance manuals, regularly talk adherence to the rules with staff and encourage them to bring any concerns to your ...
A peer shares the firm's annual disclosure given to access persons for them to report their securities holdings
A peer shares an example of a form a client would sign to authorize the release of financial information to a third party
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

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