Compliance Policies & Procedures

This guidance proves especially helpful because RCW has confirmed from multiple sources that the SEC won’t be issuing any more FAQs to help the industry ...



This comes courtesy of Craig Watanabe, director of IA compliance at DFPG Investments ($1B in AUM) in Sandy, Utah

This is an example of an escalation policy designed to help a firm direct whistleblower claims up the ladder. This was prepared by Patricia Foster, ...

A peer passes on the firm's P&Ps for allocating fixed income trades

A peer shares this P&P

This is Lord Abbett's policy and procedures for proxy voting

A peer shares their best execution compliance policies and procedures

Here is an example of a compliance P&P to govern electronic communications

A peer shares this policy and procedure