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Written Policies and Procedures Manuals

The SEC requires that all covered investment advisors have a set of policies and procedures as well as a Code of Ethics.  State covered investment advisors are required to at least have privacy policy procedures, (additional requirements vary by state).

BCP can supply a complete up-to-date written supervisory procedures manual template.  We also have available a Code of Ethics and a Disaster Recovery Plan.  Each document comes complete with descriptions of the applicable rules and regulations for each section.  All you need to do is customize the documents to reflect your firm’s operating practices and procedures.

Our manuals are offered through a 24 hour accessible web-based platform that uses Microsoft Word or HTML as an editor to help you customize your documents.  Documents are stored on-line and can be made available to all firm personnel.  There is no longer any need to distribute or maintain paper copies.  The entire customization process is simplicity in itself.

BCP also offers assistance with customization at a low hourly rate.