Compliance Policies & Procedures

A peer shares a sample trade allocation policy

Check out this sample of a best execution policy

An example of a compliance policy and procedures

This P&P comes courtesy of Michelle Jacko, CEO of Core Compliance and Jacko Law Group in San Diego.

Here's an example of a firm's compliance manual.

A peer shares the firm's policy regarding reporting of Foreign Bank and Financial Accounts. As of this time, investment advisers aren't mandated to report FBARs.

A peer shares the firm's policies and procedures for marketing materials and advertising.

A peer passes on the firm's policies and procedures for marketing.

The SEC has brought its first-ever enforcement action resulting from the Commission’s Asia hiring referral sweep. JPMorgan Chase & Co. will have to pay over ...

A power of attorney, done well, can be a powerful instrument to protect the interests of a senior investor. In the wrong hands, however, it ...