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US flag flies in front of the US Capitol in Washington DC with cash behind the dome to illustrate coronavirus stimulus payment
Check out a peer's matrix for finding potential political contributions by staff
Frustrated businessman hitting hammer on central processing unit in office.
A peer shares the firm's form for authorizing the destruction of firm records
Indian female agent helping client sign the application document
This form is used annually, completed by staff and scoured by compliance to look for new potential conflicts of interest
Two business partners sitting down at the office looking at a digital tablet and reviewing documents.
A peer grants RCW permission to share with you the firm's account review form
Indian female agent helping client sign the application document
This is an example of a form staff would complete to acknowledge that they will abide by the firm's compliance P&Ps
Unrecognizable man taking notepad from his female colleague in the office. Focus is on his hand and note pad.
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 ...
Middle age handsome grey-haired business man wearing elegant shirt and tie Swearing with hand on chest and open palm, making a loyalty promise oath
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 ...
Swear to say truth. Studio shot of sincere happy young brunette woman, raising palm and holding hand on chest, promising to me honest, standing over gray background. Emotions concept
This is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics
Close-up Of Hand With Red Pen Marking A Check Box
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

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