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Compliance Policies & Procedures

Private funds hoping to court pension plan managers can use indirect measures as a proxy for daily valuations, a new white paper from Washington trade ...
A peer shares the firm's extensive business continuity plan and policies. Use this to improve yours
The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...
Katie Mogan, a consultant with SEC Compliance Solutions in Boston, shares her template for senior P&Ps
A CCO peer shares with RCW the firm's expense allocation P&P
An adviser, who asked for anonymity, shares the firm's newly revised COVID P&Ps that take into account returning to work and the new vaccines
This is a sample best execution policy from a peer
NASAA created this grid to help compliance officers track the status of each P&P in its model rule
A peer passes along the firm's P&Ps for trade errors
A peer shares the firm's P&Ps related to trade errors
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