Compliance Policies & Procedures

Compliance consultant Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla., allows RCW to share her example of a P&P prohibiting the use ...

These come courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.

This is a peer's policy for e-mail and other electronic communications

A peer shares her firm's code of ethics and personal trading policy

A peer shares an example of a compliance policy and procedure for off-channel communications

This P&P comes courtesy of SEC Compliance Consultants

This annotated example of a communications policy and procedure, updated for off-channel communications, comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral ...

This is a compliance P&P designed to help comply with rule 18f-4, the SEC's derivatives rule

A peer shares the firm's P&Ps around records destruction

This is an example of a peer's valuation P&P