Code of Ethics

A good code of ethics contains a specific policy directed at personal trading. Enforcing your rules can be helped by asking the right questions with ...

An IA firm shares its guidelines upon which its gift and entertainment policies are derived.

Try this the next time you hold a session to remind staff of your firm's gifts and entertainment policy: Keep it short and fill the ...

A criminal conviction for insider trading persuaded the SEC to bar Victor Teicher from the industry 10 years ago. But that penalty didn't stop registered ...

SEC rules for what type of securities are required to be reported are fairly clear. But what about securities received as gifts?Certain closed-end funds, IPOs ...

Consider creating a diagram of your firm to help you put together all of its pieces. And supplement this by setting up a spreadsheet of ...

Advisers Act compliance lapses by RIA Merrill Lynch have added up to a $1 million SEC penalty for the firm. The case contends advisory reps ...

Should that summer intern fall under the strictures of your firm's personal trading rules? How about those temporary workers or consultants? You decide, as most ...

This is the widely-publicized case of a number of Fidelity broker-dealer reps who settled for accepting extravagant gifts and entertainment. This case is from 2008.