Home Compliance Policies & Procedures

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

Copyright PEI Media

Not for publication, email or dissemination