IA Compliance Toolbox

This annual employee questionnaire comes from a peer

A peer's checklist for use by compliance staff to assess if a proxy vote would run into a conflict with the firm. This includes procedures ...

A peer shares a portion of the firm's code of ethics. These are sample policies and procedures for gifts and entertainment as well as pay-to-play.

Here is an example of a form used to conduct an employee's performance review

Larger firms should find this checklist beneficial as well

Courtesy of David Spaulding, DPS, CIPM of the The Spaulding Group in Naples, Fla. (www.SpauldingGrp.com)

Courtesy of David Spaulding, DPS, CIPM of the The Spaulding Group in Naples, Fla. (www.SpauldingGrp.com)

A peer shares a questionnaire designed for a potential new hire. It asks about legal issues so as to uncover a "bad actor." It ends ...

This is Janus Henderson Investors' best execution policy

It is important that all regulated financial institutions have an open and constructive LIBOR transition dialogue with their regulators, both home state and host state, ...