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 ...