RCW Staff
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 ...
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 ...