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Compliance Best Practices
This is a firm's example of an attestation form that the staffer acknowledging compliance with the firm's policy.
This is a table of contents for a firm's compliance manual.
This is an example of an employment agreement. This example related to a CCO at an RIA.
This is an example of a firm's technology usage agreement that staffers must sign. It includes rules regarding the firm's “confidential information” and use of ...
If a CCO is denied access to the information she needs to adequately determine the firm's risks, this stands out like a full moon on ...
With a myriad of platforms available to execute trades and clients dispersed across many of them, it can be a challenge for an adviser to ...
It's recommended you train supervisors on how your firm uses expert networking consultants and how they can "escalate any material issues" to your leadership, SIFMA ...
Click here to open a Word file that is an example of a firm's code of ethics. This comes courtesy of Lori Renzulli, GC/CCO of ...
Click here to open a Word file that is an example of a whistleblower policy in response to the SEC's 2011 whistleblower rule. This example ...
Click here to download an Excel file contributed by Michael Minces, general counsel of Blue River Partners in Dallas. This is a template designed to ...