Compliance Policies & Procedures

'There’s a broader industry shift underway and this has the potential to be transformational for transparency,' Major Lindsey & Africa's Allison Rosner says.

Take some ideas for improving your marketing P&Ps by comparing yours to this one supplied by a peer

All significant outside business or charitable activities must be approved by your manager and by the Chief Compliance Officer

A peer shares an example of an advertising and marketing policy and procedure for an adviser

Spruce up your firm's personal trading P&Ps by gaining ideas from this sample P&P

Few things are hotter today than artificial intelligence. It's wise to have a P&P, and this one--shared with RCW by a peer-may give you a ...

Access Persons must certify annually to, among other things, their personal securities holdings, their securities accounts and transactions and compliance with various firm policies

While the firm recognizes that you may engage in business or charitable activities in your personal time, you must take steps to avoid conflicts of interest

Take some ideas from this policy and procedure designed to prevent insider trading

Spruce up your outside business activity policies and procedures by checking out this example of one