Compliance Policies & Procedures

A peer shares her firm's code of ethics and personal trading policy

A peer shares an example of a compliance policy and procedure for off-channel communications

This P&P comes courtesy of SEC Compliance Consultants

This annotated example of a communications policy and procedure, updated for off-channel communications, comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral ...

This is a compliance P&P designed to help comply with rule 18f-4, the SEC's derivatives rule

A peer shares the firm's P&Ps around records destruction

This is an example of a peer's valuation P&P

This P&P comes courtesy of Craig Watanabe, director of IA compliance at DFPG Investments in Sandy, Utah

This is a policy for dealing with researchers, consultants or expert networks. This comes courtesy of CCO Kathlyne Kiaie.

A peer shares policies and procedures around quantitative investing