Policies & Procedures and Code of Ethics
(aka Compliance Manual or Written Supervisory Procedures)
The Policies & Procedures ("P&P") template helps you fulfill your supervisory
responsibilities under the Investment Advisers Act of 1940 and most state securities
This user-friendly tool provides sample provisions that you can customize to your own
individual operating procedures and practices - while keeping you in compliance with the
regulatory requirements. This is not a recitation of the law, but rather formatted as
your policy document.
The sample procedures and related forms are delivered electronically in WORD for your
easy customization. The document provides you with reminder prompts as to text that may
need to be deleted or modified as may be applicable. Thus, with just a few easy
modifications you can craft your own customized procedures that fit your operations.
Your finished product gives you an easy-to-follow policies and procedures manual to help
you stay in compliance.
The P&P package includes:
- Policies & Procedures and Code of Ethics
- Compliance Calendar
- Annual Review Documentation for Policies and Procedures
- Quarterly Report of Access Persons Securities Transactions and Holding Log