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Personal Trading

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
A peer shares a one-page primer aimed at helping staff understand their responsibilities under the firm's personal trading section of its code of ethics.
A peer shares her firm's code of ethics and personal trading policy
A policy for a fundamental compliance duty
The CCO of a Massachusetts-based investment adviser won’t have to pay any further penalties after serving a criminal sentence for bilking his firm’s clients out ...
If your firm pays a radio station to run an ad, you better tune in.   That’s one lesson from the SEC enforcement action against ...

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