Code of Ethics

FINRA has backed changes in its gifts and entertainment rules that would update a two-decade old limit and offer firms the hope of less paperwork ...

It can be challenging when you report to multiple regulators to keep their gifts and entertainment thresholds straight. The Department of Labor’s $250 annual threshold ...

A failure to enforce information barriers between IA and B-D affiliates has resulted in SEC charges for the affiliates for neglecting to maintain and enforce ...

Recorded: September 29, 2015

From about February 2008 to about March 2012, Bennett provided an employee of a proxy solicitation firm with nonpublic information about ISS clients in exchange ...

When the SEC releases three enforcement cases on the same day – tied to the same issue – you know a message is being sent. ...

GPIM breached its fiduciary duty by failing to disclose that one of its senior executives approached an advisory client and received a $50 million loan ...

Parallax, an investment adviser registered with the Commission from March 2010 to November 2012, willfully violated the principal transaction prohibitions and the custody and compliance rules ...

This release from June 2015 recommends compliance staff dig deeper when determining that an access person's trading doesn't need review because it qualifies for an ...

You may wish to do more before deciding an access person’s personal trades don’t need to be reviewed because they supposedly fall under the code ...