Compliance Policies & Procedures

A peer shares the firm's policies and procedures for maintaining records

Here's another P&P for returning to work during the pandemic

Employees who use mass transit will not want to use it to commute and may have difficulty with transportation for a number of reasons

It has become possible that some type of pandemic like SARS or Ebola would require employees to abandon one or more of our offices and ...

A peer has shared a copy of the firm's proxy voting guidelines

A policy for a fundamental compliance duty

"Anyone that has shown symptoms must get tested"

This is a sample policy, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, for governing the use of electronic devices by firm employees

Core Compliance & Legal Services in San Diego permits us to share its P&P for charitable contributions

A peer shared this example of a policy and procedure for anti-money laundering