Home Compliance Policies & Procedures
Compliance Policies & Procedures
A CCO peer shares the table of contents from the advisory firm's compliance manual
John Brennan, head of technology at Highfields Capital Management in Boston gives us permission to share his IS policy as reprinted in the book, The ...
Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...
A peer shares the firm's extensive business continuity plan and policies. Use this to improve yours
A CCO peer shares with RCW the firm's expense allocation P&P
An adviser, who asked for anonymity, shares the firm's newly revised COVID P&Ps that take into account returning to work and the new vaccines
This is a sample best execution policy from a peer
NASAA created this grid to help compliance officers track the status of each P&P in its model rule
A peer passes along the firm's P&Ps for trade errors
A peer shares the firm's P&Ps related to trade errors