Compliance Forms Bundle (Model)


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 model forms bundle provides a generalized set of forms that you can tailor to the specific needs of your business!  The forms available cover the following areas.


     –  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


     –  Approval

     –  Errors


     –  Disclosure

     –  Best Execution