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Sample WSP/CoE – Social Objectives Investing – ESG & Biblically Responsible

July 24, 2023

This Sample WSP/CoE – Social Objectives Investing – ESG & Biblically Responsible is a sample compliance manual section for an investment adviser which recommends or selects investments and/or third-party money managers/sub-advisers based upon social or other non-financial objectives like environmental, social and governance (“ESG”), biblically responsible investing (“BRI”) or Halal Investing.

Included with an Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium packages). Available to purchase a la carte through our online store: Sample WSP/CoE – Social Objectives Investing – ESG & Biblically Responsible

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WSP/CoE Section – Advertising (Initially posted 10/20/2022)

October 20, 2022

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WSP/CoE Section Update – IAR CE (Last Updated in May 2022)

May 19, 2022

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Wrap v. Non-Wrap Account (Last Updated in March 2018)

January 27, 2022

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Text Messaging Prohibited (Last updated in June 2017)

January 27, 2022

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Text Messaging Permitted (Last Updated in July 2017)

January 27, 2022

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Succession Plan (Posted February 2018)

January 27, 2022

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Section 13 Filings (Updated in December 2020)

January 27, 2022

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Reports to Parent Company’s President Do Not Trigger Supervised Person nor IAR (Posted in December 2017)

January 27, 2022

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Recommending FIA in lieu of SMA Retirement Account (Last Updated in June 2017)

January 27, 2022

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