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Compliance Policies & Procedures
Bill Sowell of Sowell Financial Services in North Little Rock, Ark., gives us permission to share with you his firm's document destruction P&P
A peer shares the firm's form for tracking changes to its compliance policies and procedures
Take some ideas from one of your peer's gifts and entertainment policies
A peer shares the firm's policies and procedures for maintaining records
Here's another P&P for returning to work during the pandemic
Employees who use mass transit will not want to use it to commute and may have difficulty with transportation for a number of reasons
It has become possible that some type of pandemic like SARS or Ebola would require employees to abandon one or more of our offices and ...
A peer has shared a copy of the firm's proxy voting guidelines
A policy for a fundamental compliance duty
"Anyone that has shown symptoms must get tested"