RCW Staff

An Excel worksheet risk matrix to aid your annual review

Here's an example of an agreement to share information between parties

Use this form to survey staff on their use of social media

This is a cybersecurity checklist shared with permission of ISO Services

Take some ideas from one of your peer's gifts and entertainment policies

A peer has shared a copy of the firm's proxy voting guidelines

This guide was designed to help private fund advisers with their annual review. It comes courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, ...

Be sure to change keywords based on events

This is an example of a trade ticket submitted by a peer

An Excel file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. The worksheets within this Excel file are designed to help you ...