RCW Staff
This rule layouts guidance for fund advertising
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
Click here to download a 7–column chart that you can you to help document your annual review
A peer shares the firm's new cybersecurity policies and procedures
This is a checklist created by Colleen Montemarano, senior consultant at NorthPoint Compliance in Red Bank, N.J.