RCW Staff

A peer shares a portion of the firm's code of ethics. These are sample policies and procedures for gifts and entertainment as well as pay-to-play.

Here is an example of a form used to conduct an employee's performance review

This is an example of a consent form for a client to agree to permit the adviser to release financial information to a third-party

A peer shares a one-page primer aimed at helping staff understand their responsibilities under the firm's personal trading section of its code of ethics.

The SEC has shared this example of a risk matrix

Ask your reps to attest that they provided you with accurate information

Click here to download a Word file contributed by a peer. This is the firm's acknowledgement form given to parties as part of its efforts ...

This is a sample best execution policy from a peer

A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's books ...

Here are sample guidelines for staff that do broadcast, TV, video and other media interviews. This comes from Core Compliance & Legal Services in San ...