Compliance Policies & Procedures

A peer passes along a policy and procedure for the use of e-mails as well as for the retention of e-mails

Global Infrastructure Partners' fees may have been opaque even to the firm, SEC settlement suggests

Reps will be given a checklist for submitting a testimonial for approval. The form would indicate whether the testimonial came from an existing, a new ...

Matt Lovett, CCO at Brookstone Capital Management ($3.5B in AUM) in Wheaton, Ill., shares his firm's new testimonial P&P under the SEC's new IA ad ...

Outsourcing rare but multiple roles, funds abound

P&Ps untried, untested, Commission warns in new risk alert

“Hemp,” Thomas Jefferson once wrote, “is of first necessity to the wealth & protection of the country.” Three centuries on, Jefferson’s political descendants are beginning ...

A peer shares a copy of a policy for using ESG rating companies

Congress is weighing legislation that would require investment advisers and other “gatekeepers” to develop and maintain anti-money laundering policies and procedures. If passed, the ENABLERS ...

A peer shares the firm's policies and procedures for overseeing its subadvisers