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Compliance Policies & Procedures
This P&P comes courtesy of Debra Konieczny, IACCP, CSCP, CCO at Capital Advisors in Tulsa, Okla.
Gain ideas for your personal trading P&Ps by eyeing this one
Gain ideas from this adviser's code of ethics
Here's an example of a personal trading policy and procedure
RCW shares an example of an IA P&P
This P&P comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.
A peer shares this P&P
Provided as a courtesy from Coulter Strategic Services
A peer shares an example of a gifts and entertainment compliance policy and procedure
This is the IA compliance rule