This is a sample policy, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, for governing the use of electronic devices by firm employees
An Excel file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. The worksheets within this Excel file are designed to help you ...
Examples of the areas the staff may focus on during examinations are discussed below
This is a sample annual employee questionnaire, which comes courtesy of Core Compliance & Legal Services in San Diego
This comes courtesy of The Plain Language Group in Charlotte, N.C.
A peer shares the firm's P&Ps for a variety of events covered in its business continuity plan
Fees, investments, ads and trading dominate this exam
Core Compliance & Legal Services in San Diego permits us to share its P&P for charitable contributions
Teri McCasland, VP/CCO of SFE Investment Counsel in Los Angeles, shares her draft of her Form CRS
This exam letter asks many questions about private and registered funds