Compliance Policies & Procedures

This is a sample policy, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, for governing the use of electronic devices by firm employees

Core Compliance & Legal Services in San Diego permits us to share its P&P for charitable contributions

A peer shared this example of a policy and procedure for anti-money laundering

A peer shares a sample trade allocation policy

Check out this sample of a best execution policy

An example of a compliance policy and procedures

This P&P comes courtesy of Michelle Jacko, CEO of Core Compliance and Jacko Law Group in San Diego.

Here's an example of a firm's compliance manual.

A peer shares the firm's policy regarding reporting of Foreign Bank and Financial Accounts. As of this time, investment advisers aren't mandated to report FBARs.

A peer shares the firm's policies and procedures for marketing materials and advertising.