Compliance Policies & Procedures

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

A peer shares this policy and procedure

A peer passes along a policy and procedure for the use of e-mails as well as for the retention of e-mails

Matt Lovett, CCO at Brookstone Capital Management ($3.5B in AUM) in Wheaton, Ill., shares his firm's new testimonial P&P under the SEC's new IA ad ...

A peer shares a copy of a policy for using ESG rating companies

A peer shares the firm's policies and procedures for overseeing its subadvisers

Embattled hedge fund adviser Infinity Q has estimated its exposure to ongoing shareholder suits at nearly $675 million, the firm says in a new statement. ...

Former Ares exec loses millions in unvested stock incentives.

SEC, investors demand more 'horsepower' in private fund shops

Banking giant Credit Suisse lost $5.5 billion on the collapse of Archegos Capital Management because “of a fundamental failure of management and controls” and in ...