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Compliance Policies & Procedures

Compliance program rule issues perennially found on OCIE's "Top 5" deficiencies list
A peer passes along the firm's P&Ps for trade errors
A peer shares the firm's P&Ps related to trade errors
The importance of ensuring recommendations made to retail clients comply with legal obligations is highlighted
The SEC has taken its first, tentative steps to opening up private funds to retail investors. There’s still a long way to go, but just ...
A peer shares her firm's code of ethics and personal trading policy
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
Half of the respondents have P&Ps tied to cognitive decline and diminished capacity
A peer shares the firm's form for tracking changes to its compliance policies and procedures
Senior management, including compliance personnel, sent and received business-related text messages

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