What happens when a leading regulatory lawyer and an innovative policy management solution come together?
Steven Lofchie, partner at the law firm Cadwalader, Wickersham & Taft LLP, and author of Lofchie's Guide to Broker-Dealer
Regulation, and Complinet have teamed up to transform policy and procedure management from a complicated and time-consuming project to an efficient and stress-free undertaking. Lofchie’s Manuals are straightforward compliance and supervisory procedure manuals that address the needs of financial firms with comprehensive, standardized policies and procedures. The manuals are valuable for new firms in the process of producing their initial manuals, as well as established firms wishing to supplement or validate existing manuals.
Delivered to you on Complinet’s Policy Manager platform, Lofchie’s Procedure Manuals are updated under the direction of Steven Lofchie via easy-to-understand email updates. Complinet’s Policy Manager allows users to edit and customize the manuals as needed, save and review previous versions, track workflow and link to external rulebooks while building from a comprehensive set of procedures developed by a leader in the legal and compliance profession.
Are your policies and procedures up to date?
View the attached chart outlining recent rule changes that would have impacted a broker-dealer's general compliance procedures. Lofchie's Manuals make it easy to implement these types of changes in your policies and procedures.
Lofchie’s Manuals for broker-dealers include:
- General Compliance and Supervision
- Sales Practice
Future Manuals for broker-dealers:
- Rule 15a-6
- Options
- Securities Lending
- Equities Research
Lofchie’s Manuals for Advisers to Institutional Investors include:
- Commodity Pool Operator & Commodity Trading Advisor Compliance Manual
Future Manuals for Advisers to Institutional Investors:
- Code of Ethics for Registered Investment Adviser
- Comprehensive Supervisory and Compliance Manual
