Compliance Policies & Procedures

Chief compliance officer. Designate one individual responsible for administering the fund's policies and procedures adopted under paragraph (a)(1) of this section

Click here to open a Word file that is an example of policies and procedures for the SEC's whistleblower rule. These come with permission of ...

While you may be so close to your compliance policies and procedures you could recite lines from memory, remember that your colleagues may only be ...

A peer shares the firm's policy on whether to retain or shred documents.

These are advertising and media appearance guidelines from a peer at a private equity fund advisory firm.

Try this idea: Periodically take a chapter from your compliance manual and visit the relevant area at your firm to test if its procedures remain ...

This compliance policies and procedures manual comes courtesy of Albert Gutierrez, CCO at Atlas Capital Advisors in San Francisco, who refers you to his firm’s ...

This is a template for a supervision policy courtesy of Nancy Lininger of The Consortium in Camarillo, Calif. This can be helpful to firms after ...

Click here to download a sample charitable giving policy for an RIA. This can help firms struggling to decide whether to give when clients ask ...

This is a firm's example of an attestation form that the staffer acknowledging compliance with the firm's policy.