Compliance Policies & Procedures

A peer shares this P&P

This is Lord Abbett's policy and procedures for proxy voting

A peer shares their best execution compliance policies and procedures

Here is an example of a compliance P&P to govern electronic communications

A peer shares this policy and procedure

A peer passes along a policy and procedure for the use of e-mails as well as for the retention of e-mails

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 ...

A peer shares a copy of a policy for using ESG rating companies

A peer shares the firm's policies and procedures for overseeing its subadvisers

Embattled hedge fund adviser Infinity Q has estimated its exposure to ongoing shareholder suits at nearly $675 million, the firm says in a new statement. ...