Rob Moses has expertise in developing written policies and procedures that are comprehensive, customized and easy to navigate. Boilerplate procedures with inapplicable provisions place a firm at risk and cause issues rather than preventing them. Rob can assist with common-sense procedures that meet the required standard of being reasonably designed to prevent and detect violations of applicable rules.

Rob can assist with whatever level of attention your manual requires, whether you need a new set of procedures, a comprehensive review and update of your current policies and procedures, or just a new written policy for a discreet business line or issue. Rob has years of experience drafting and implementing all types of financials services policies and procedures, including:

  • Anti-Money Laundering Policies
  • “Bad Actor” Policies
  • BD Compliance Manuals
  • Best Execution Policies
  • Business Continuity Plans
  • Code of Ethics
  • Committee Charters
  • Disaster Recovery Plans
  • Employee Manuals
  • FinOp Procedures
  • Information Security Manual
  • Internal Controls
  • Investment Committee Policies
  • Operations Manuals
  • Privacy Policy
  • RIA Compliance Manuals
  • Supervisory Controls
  • Written Supervisory Procedures