This is an example of a firm's technology usage agreement that staffers must sign. It includes rules regarding the firm's “confidential information” and use of ...
Click here to open a Word file that is an example of a firm's code of ethics. This comes courtesy of Lori Renzulli, GC/CCO of ...
Click here to open a Word file that is an example of a whistleblower policy in response to the SEC's 2011 whistleblower rule. This example ...
Click here to download an Excel file contributed by Michael Minces, general counsel of Blue River Partners in Dallas. This is a template designed to ...
A peer shares here a Word file that is a quarterly compliance attestation that employees are required to sign. This is a best practice to, ...
The Securities and Exchange Commission’s (“Commission”) National Exam Program (“NEP”) has identified the master/sub-account trading model as a vehicle that could be used to further ...
This is an SEC exam roadmap for RIAs prepared by Linda Shirkey of The Advisor’s Resource in Houston.
This is a no-action letter released by the SEC in September 2011 that gives investment companies relief from the agency's pay-to-play rule's requirements that advisers ...
A peer shares the firm's custody checklist, which is in an Excel file format. This tool can be used to quiz dual registrants and RIAs ...
A peer shares the firm's language added to its subscription documents to alert clients of the need to obtain certain representations to help brokers comply ...