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Compliance Policies & Procedures

A policy for a fundamental compliance duty
The SEC’s recent private funds risk alert points to structural problems in the industry—problems that the Commission itself is in a unique position to help ...
The compliance burden of the newly relaxed Volcker Rule will fall heaviest on banks but no one on either side of the reopened ledgers will ...
Private fund advisers struggle with conflicts of interest, fees and expenses and putting together the right P&Ps to mitigate the risk of material, non-public information ...
To all outward appearances, Richard Diver stood as a pillar of rectitude. The co-founder of Manhattan-based M&R Capital Management ($487M in AUM), Diver, 63, ran ...
Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...
Failures resulted in $1M penalty for Ares Management
"Anyone that has shown symptoms must get tested"
Results positive from FINRA review of firms' senior investor protection programs
The SRO will take the same approach outlined in the Commission's two risk alerts
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.
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