Skip navigation

Sample Compliance Manual Needed

or Register to post new content in the forum



  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Oct 16, 2008 3:26 pm

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 21, 2008 1:23 am

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

Oct 21, 2008 4:57 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…   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.