Home Compliance Policies & Procedures
Compliance Policies & Procedures
'Come forward, cooperate and remediate,' top prosecutor says
This P&P comes courtesy of Craig Watanabe, director of IA compliance at DFPG Investments in Sandy, Utah
Reps will be given a checklist for submitting a testimonial for approval. The form would indicate whether the testimonial came from an existing, a new ...
'Digital engagement,' market structure remain Gensler's top priorities
This is a policy for dealing with researchers, consultants or expert networks. This comes courtesy of CCO Kathlyne Kiaie.
Charges included failing to adopt reasonably designed compliance P&Ps, not conducting annual reviews, not establishing a code of ethics, and not filing Form CRS
SBAI, ILPA offer 'practical steps that allocators can take to improve the diversity of their portfolio'
Look out for this crisis, but also the next one
A peer shares policies and procedures around quantitative investing
'Everyone’s guessing at this point'
If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: