Sample Compliance Manual Needed

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Oct 16, 2008 11:26 am

I'm looking for a sample of a compliance manual as well as a code of ethics.  Any ideas where to obtain (without getting my attorney to draw docs up)?

Oct 20, 2008 9:23 pm

Let me see if I have this right.  You're looking for a way to circumvent the rules regarding compliance?

Oct 21, 2008 12:57 pm

Contact a Securities Complaince consultant.  There are lots of them out there.  Most have worked for FINRA or BD back offices.  They generally set up procedures for BD's, compliance manuals, do AML audits, etc.  Here's a place to start...

http://www.regulatorycompliance.com/
 
Question - what good does a "sample" do you?  You're not going to draw them up yourself (at least you shouldn't), so why would it matter?  Either you need them or you don't.  Just curious.