RCW Staff

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 ...

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, ...