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Compliance Policies & Procedures
A peer shares the firm's extensive business continuity plan and policies. Use this to improve yours
A CCO peer shares with RCW the firm's expense allocation P&P
An adviser, who asked for anonymity, shares the firm's newly revised COVID P&Ps that take into account returning to work and the new vaccines
This is a sample best execution policy from a peer
NASAA created this grid to help compliance officers track the status of each P&P in its model rule
A peer passes along the firm's P&Ps for trade errors
A peer shares the firm's P&Ps related to trade errors
Bill Sowell of Sowell Financial Services in North Little Rock, Ark., gives us permission to share with you his firm's document destruction P&P
A peer shares the firm's form for tracking changes to its compliance policies and procedures
Take some ideas from one of your peer's gifts and entertainment policies