Compliance Policies & Procedures

This is an example from a peer of the firm's policies and procedures for use of predecessor performance data. These P&Ps are based on GIPS ...

'It's risky to go it alone,' experts warn

This example of a compliance policy and procedure for cybersecurity comes from Ben Anderson of Anderson PLC in Minneapolis

A peer shares the firm's proxy voting P&Ps

Firm has paid regulators $184.5 million since 2020

This guidance proves especially helpful because RCW has confirmed from multiple sources that the SEC won’t be issuing any more FAQs to help the industry ...



This comes courtesy of Craig Watanabe, director of IA compliance at DFPG Investments ($1B in AUM) in Sandy, Utah

This is an example of an escalation policy designed to help a firm direct whistleblower claims up the ladder. This was prepared by Patricia Foster, ...

A peer passes on the firm's P&Ps for allocating fixed income trades