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Compliance Policies & Procedures

This is a sample policy, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, for governing the use of electronic devices by firm employees
A peer shares the firm's P&Ps for a variety of events covered in its business continuity plan
Core Compliance & Legal Services in San Diego permits us to share its P&P for charitable contributions
A peer shared this example of a policy and procedure for anti-money laundering
Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...
A peer shares a sample trade allocation policy
Check out this sample of a best execution policy
Failure to adopt P&Ps connected to client objectives, restrictions
An example of a compliance policy and procedures
This P&P comes courtesy of Michelle Jacko, CEO of Core Compliance and Jacko Law Group in San Diego.
Consider that door closed. An attempt by Barclays to “open doors” by hiring the relatives and friends of foreign government officials in a bid to ...
Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer published quotes and made ...
The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client assets ...
The brokerage industry certainly sees its fair share of movement of registered reps from one firm to the next and across financial services firms operating ...
John Brennan, head of technology at Highfields Capital Management in Boston gives us permission to share his IS policy as reprinted in the book, The ...
A CCO peer shares the table of contents from the advisory firm's compliance manual.
The commencement of OCIE’s “Cyber 3” initiative (IA Watch, March 27, 2018) is expected at any time now, but the specter of being caught in ...
Bill Sowell of Sowell Financial Services in North Little Rock, Ark., gives us permission to share with you his firm's document destruction P&P.
Cross trading practices inconsistent with its compliance P&Ps, regulatory compliance manual and Forms ADV have yielded SEC charges against a New York-based investment adviser.   In ...
BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy didn’t prevent long ...
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