Personal Trading

As a compliance officer, your role must include examining the personal securities trading of your firm’s employees. The SEC’s Office of Inspector General is now ...

This is the Advisers Act's code of ethics rule

Manually or electronically. Restricted lists or no-holes barred. Pre-clearance or trading freedom. Firm choice and its business often define how your peers set up their ...

The SEC prosecuted an alleged “cherry-picking” scheme that garnered nearly $2 million in illicit profits.

The recent embarrassment of an SEC examiner being charged with violating the agency's rules on personal trading (IA Watch, Nov. 25, 2013) won't change the ...

After literately decades on the job, the vendor hired to shred the firm's records starting slacking off. So David Campbell, general counsel of Silvercrest Asset ...

This is a case many compliance officers point to because the SEC accused Carl Johns of lying to the adviser's CCO. Johns ignored the firm's ...

This compliance policies and procedures manual comes courtesy of Albert Gutierrez, CCO at Atlas Capital Advisors in San Francisco, who refers you to his firm’s ...

This is a form, courtesy of Victoria Hogan, president, NorthPoint Compliance in Red Bank, N.J., that can be used when a staffer claims an exception ...