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Compliance Policies & Procedures

Developing programmer Development Website design and coding technologies working in software company office
This P&P comes courtesy of Craig Watanabe, director of IA compliance at DFPG Investments in Sandy, Utah
Policies and Procedures binders in the office. Stationery on a wooden shelf
This is a policy for dealing with researchers, consultants or expert networks. This comes courtesy of CCO Kathlyne Kiaie.
A peer shares policies and procedures around quantitative investing
This fee P&P comes courtesy of Lauri London, senior counsel with Cohen & Buckmann in New York
A peer shares a P&P for fee reviews and some sample tests
A peer shares the firm's new cybersecurity policies and procedures
'Compliance, really, is a risk mitigation strategy.'
A peers shares the firm's new advertising P&P designed for the new SEC IA ad rule
A peer shares a new solicitation P&P designed to comply with the new SEC IA ad rule
Enforcement deadline looms
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