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Compliance Policies & Procedures

A young man among the thickets of ivy.
Spruce up your outside business activity policies and procedures by checking out this example of one
Business people attending seminar in modern office
Gain insights by looking through this adviser's compliance manual
Business man, rich, millionaire, billionaire, with many banknote dollars money
Here's a short P&P tying together 13F, Form N-PX and proxy voting reporting
A senior black man casts his ballot on election day.
Gain ideas for your proxy P&Ps from this one from an advisory firm
Handsome mid adult Caucasian referee points as he blows his whistle. He is calling a penalty or foul during sporting event. He has brown hair and is wearing a black and white striped referee uniform. He is standing on the playing field. He has an intense expression on his face.
Need ideas to refresh your whistleblower P&Ps? Try this sample
Cropped shot of a loving husband giving his wife a gift. Boyfriend surprise his beautiful girlfriend with present while she is sitting on the sofa in the living room at home. Focus is on the gift.
Take some ideas from this gifts and entertainment P&P
Close-up Of Businessman Hands Giving Cheque To Other Person In Office
Gain ideas for your PTP's P&Ps from this sample policy
The girl trader follows the charts on the monitor and negotiates by phone. Two monitors with graphs on rising index.
This comes courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla.
A young man among the thickets of ivy.
Here's a policy that may give you ideas for improving your firm's OBA P&P
Chatbot Chat with AI, A.I.
This P&P comes courtesy of Debra Konieczny, IACCP, CSCP, CCO at Capital Advisors in Tulsa, Okla.
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