Home Compliance Policies & Procedures
Compliance Policies & Procedures
This is a template for a supervision policy courtesy of Nancy Lininger of The Consortium in Camarillo, Calif. This can be helpful to firms after ...
Click here to download a sample charitable giving policy for an RIA. This can help firms struggling to decide whether to give when clients ask ...
This is a firm's example of an attestation form that the staffer acknowledging compliance with the firm's policy.
Click here to open a Word file that is an example of a whistleblower policy in response to the SEC's 2011 whistleblower rule. This example ...
A peer shares the firm's policy for social media, email and other e-communications.
A peer shares the firm's e-communications policy, which deals with emails, social media and other forms of electronic communications.
This is a trade rotation policy From Knightsbridge Asset Management in Newport Beach, Calif.
This is a firm's data destruction P&P.
This is an example of a trade correction policy.
Click here to open a Word file that contains a peer's policy and attestation for employees to sign in an effort to prevent insider trading ...