Investment Adviser Compliance Program Policy & Procedure Development
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Compliance Examination & Testing
Compliance Program Policy & Procedure Development
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For investment advisers, well documented written supervisory procedures and compliance programs are a vital part of a sound compliance infrastructure. Rapid changes in regulations, products and services necessitate frequent updates to written policies, procedures and compliance manuals. RRS’ consultants have the experience and expertise necessary to help you create, review, or update your written policies and procedures.

 

Written Supervisory Procedures - RRS provides customized written supervisory policies and procedures manuals. From developing an internal control structure to establishing testing methods and cycles, RRS can provide the guidance necessary to ensure that your procedures meet today's stringent regulatory requirements.

 

Compliance Manuals - RRS also provides customized desk level compliance manuals that will help to ensure your firm adequately communicates internal policies to investment advisory representatives and employees.

 

RRS' written supervisory and compliance manuals cover the core regulatory requirements including but not limited to:

  • Portfolio Management
  • Trading and Trade Allocations (Best Execution)
  • Proxy Voting
  • Solicitation Arrangements
  • Sub-Advisory Arrangements and Due Diligence
  • Portfolio Valuations
  • Proprietary and Personal Trading (Code of Ethics)
  • Protection of Client Privacy
  • Anti-Money Laundering
  • Adherence to Client Investment Policies
  • Safety of Client's Assets
  • Performance Advertising and Marketing
  • Business Continuity Plans
  • Internal Audit Function
  • Information Processing and Protection (Books and Records, Disclosure, Filings)

Policy and Procedure Update Services - RRS can review and update your policies and procedures on an ongoing basis to help you keep up with regulatory and business changes. See Compliance Support Services for more information.

 

Testing Services - RRS can also provide testing services to ensure that your written policies and procedures are properly implemented. See Compliance Examination & Testing for more information.