RCW Staff
A peer shares the firm's annual disclosure given to access persons for them to report their securities holdings
A peer shares an example of a form a client would sign to authorize the release of financial information to a third party
This is an example of a form employees would sign annually attesting that they acknowledge receipt of compliance materials
This is an example of a code of ethics from a dually-registered firm
Provides for compensation to the investment adviser on the basis of a share of the capital gains
This is a trading practices risk matrix shared here with permission of the firm that created it
Use this form to help you comply with the SEC's pay-to-play rule
This tool can help you test compliance with cross trade rules
This annual employee questionnaire comes from a peer
A peer's checklist for use by compliance staff to assess if a proxy vote would run into a conflict with the firm. This includes procedures ...