Check out a peer's matrix for finding potential political contributions by staff
A peer shares the firm's form for authorizing the destruction of firm records
This form is used annually, completed by staff and scoured by compliance to look for new potential conflicts of interest
This is an example of a form staff would complete to acknowledge that they will abide by the firm's compliance P&Ps
Throughout its history, Ensign Peak was required to file Forms 13F identifying and providing certain information about the Section 13(f) Securities that it managed for ...
This is an example of a certification form you can ask a subadviser to use quarterly to attest that it's abiding by your code of ...
This is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics
This document comes courtesy of National Compliance Services in Delray Beach, Fla. (http://www.ncsonline.com).
The proposed amendments are designed to improve liquidity risk management programs to better prepare funds for stressed conditions and improve transparency in liquidity classifications