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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
An Excel file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. The worksheets within this Excel file are designed to help you ...
This is a sample annual employee questionnaire, which comes courtesy of Core Compliance & Legal Services in San Diego
This comes courtesy of The Plain Language Group in Charlotte, N.C.
A peer shares the firm's P&Ps for a variety of events covered in its business continuity plan
Mario Hernandez, CFP®, director of operations at Gemmer Asset Management in Walnut Creek, Calif., shares his firm's cyber P&P related to employee security roles. ...
Fees, investments, ads and trading dominate this exam
Core Compliance & Legal Services in San Diego permits us to share its P&P for charitable contributions
Teri McCasland, VP/CCO of SFE Investment Counsel in Los Angeles, shares her draft of her Form CRS
A process for checking billing during your annual review
Use this Excel spreadsheet to test the accuracy of your billing
This exam letter asks many questions about private and registered funds
This letter came out of the SEC's San Francisco Regional Office
This form comes courtesy of Kim Collins of Compliance Resource Partners in Highlands Ranch, Colo.
Use this form to investigate new investment products
This exam touched on a wide-range of topics
As a service to the adviser industry, Schwab has granted RCW permission to share its guide with you
To help in the transition away from LIBOR
A peer shared this example of a policy and procedure for anti-money laundering
Sample this IA contract
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