Compliance Policies & Procedures

A peer shares the firm's P&Ps for a variety of events covered in its business continuity plan

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

Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...

A peer shares a sample trade allocation policy

Check out this sample of a best execution policy

Failure to adopt P&Ps connected to client objectives, restrictions

An example of a compliance policy and procedures

This P&P comes courtesy of Michelle Jacko, CEO of Core Compliance and Jacko Law Group in San Diego.

Consider that door closed. An attempt by Barclays to “open doors” by hiring the relatives and friends of foreign government officials in a bid to ...