Policies and Procedures

I work for a registered investment adviser (“My Firm”). These policies and procedures for Compliance Building are designed to prevent violation of the Investment Advisers Act.

  1. Blog posts will not mention the name of My Firm, except in connection with other peer firms for rankings, such as the PERE 50.
  2. Compliance Building  will not use logos or branding of My Firm.
  3. The “About” page is only page where I intend to specifically identify my place of employment.
  4. I will not use Compliance Building as a marketing platform for My Firm.
  5. Compliance Building will not mention any fundraising by My Firm.
  6. I will avoid blog posts discussing investors in the funds sponsored by My Firm.
Comments are closed.