Personal Trading

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 ...

Earlier this month, all SEC employees received a letter from the agency's chief privacy officer alerting them of "an incident" involving a vendor hired to ...

Click here to open a Word file that is an example of a firm's code of ethics. This comes courtesy of Lori Renzulli, GC/CCO of ...

Click here to open a Word file that contains a peer's policy and attestation for employees to sign in an effort to prevent insider trading ...

A peer shares examples of how the firm encourages staff to report possible violations to the CCO through its compliance manual and code of ethics.

Click here to download a peer's personal trading policy.

In a perfect world, a rule never needs to bend. In the real world, circumstances can test even the best code of ethics.Consider this scenario: ...

Compliance officers use this type of letter to request staff trading data from brokers

This is an example of an annual questionnaire and certification, courtesy of Steven Felsenthal, general counsel and CCO at The Millburn Corporation in Greenwich, Conn. ...

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 ...