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Compliance Policies & Procedures

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A peer passes on the firm's P&Ps for allocating fixed income trades
A peer shares this P&P
whisper, secret, insider trading, pssst
Firms struggle with alternative data, 'value-add' investors and expert networks, examiners find
A peer shares the firm's proxy voting P&Ps
This is Lord Abbett's policy and procedures for proxy voting
Proposal uses present tense, not future tense, and industry is worried
A peer shares their best execution compliance policies and procedures
Jacko recommends P&Ps “have a list of do’s and don’ts,” especially around “some of the hardest areas we might have to tackle”
CISA offers tips, links, just in case
Firms should scrub their client lists, IP and geolocation policies and procedures, Paul, Weiss argues
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