Customized-Compliance-Forms-Bundle

Compliance Forms Bundle (Customized)

$2,000.00

Product Description

USCC’s self-help forms cover all aspects of compliance and are designed to help your firm implement, monitor and evaluate its compliance program.  USCC’s customized bundle is a tailored set of forms that fit your specific business needs!  The checklists available cover the following areas.

Personnel:

     –  CCO Appointment

     –  Supervisory Assignments

     –  Supervised & Access Persons

Compliance Policies:

     –  Acknowledgment

     –  Findings & Exceptions

Code of Ethics:

     –  Acknowledgment

     –  Violations

     –  Disciplinary Actions

     –  Insider Trading

     –  Outside Business Activities

     –  Gift Disclosure

     –  Political Contributions

Employee Trading

Advertising & Marketing:

     –  Solicitor’s Attestation

     –  Reportable Events

     –  Email Monitoring

     –  Social Media

Client Complaints

Privacy & Data Security:

     –  Confidentiality Agreements

     –  Policy Acknowledgment

     –  Document Destruction

Proxy Voting

Trading:

     –  Approval

     –  Errors

Brokerage:

     –  Disclosure

     –  Best Execution