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Code of Ethics
A peer shares here a Word file that is a quarterly compliance attestation that employees are required to sign. This is a best practice to, ...
The SEC doesn't require you to include a gifts and entertainment policy in your code of ethics but many reasons suggest this as a best ...
This is an example of a questionnaire firms can give to employees to spot potential conflicts of interest. This comes courtesy of Victoria Hogan of ...
It's tough to find a mistake Wunderlich Securities ($469M in AUM) in Memphis and its CCO Tracy Wiswall didn't make, according to a new SECenforcement ...
What began as two partners with $1,000 in 1997 grew into an RIA managing $7.2 billion 14 years later. But the story of Aletheia Research ...
Consider this compliance tactic to get staff to appreciate the need to seek best execution and how brokers may attempt to sway business their way: ...
It comes around every year about this time, like the Super Bowl. The need to get staff to attest to having read, understood and complied ...
The vendor had a special gift for the head trader: a primo ticket to the big college football tussle pitting Texas against Oklahoma. The CCO ...
Click here to read a copy of a peer's gifts and entertainment policy.
You could have the best personal trading policy around but if it doesn't give someone the responsibility to review the CCO's trading it contains a ...