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Personal Trading
This is an example of a certification form you can ask a subadviser to use quarterly to attest that it's abiding by your code of ...
This is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics
Use this form to document due diligence of non-recommended or non-approved holdings
A peer shares the firm's annual disclosure given to access persons for them to report their securities holdings
Compliance can generate commission reports as well as the average cents per share the firm pays. Finance or operations could show a list of vendors ...
Examiners may want to see additional procedures to be comfortable that the firm could adequately conduct its reviews given this situation
The ruckus stirred by the Robinhood fiasco earlier this year also exposes a risk for compliance officers. Could your access persons evade your personal trading ...
Your job overseeing staff personal trades has grown more challenging with so many new trading apps hitting the marketplace. Here are some you may wish ...
This annual employee questionnaire comes from a peer
CCOs should know which consultants are working at their firm and whether they have access to trading information
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