Code of Ethics, Conflicts of Interest, and Personal Trading
Rule 204A-1 of the Investment Adviser’s Act requires firms to implement and maintain a Code of Ethics, which, among other things, requires the supervision of employee personal trades. While straightforward on paper, the process of preclearing, tracking, and verifying your employees' personal trades and conflicts of interest can be an onerous one...especially if you rely on manual processes.
Straight from the source
The Latest News and Insights from COMPLY
Manage and mitigate employee trade risk with a technology partner as dedicated to your compliance program as you are.
Case Study: Streamlining Compliance Monitoring to Elevate the Strategic Impact of a Lean Compliance Team
The CCO juggled being the firm's only compliance professional and general counsel. The challenges he faced manually managing his compliance program included identifying all Code of Ethics violations, demonstrating compliance to regulators, and chasing down employee certifications.
After consulting several peers in the industry, the CCO found that COMPLY could automate the process of monitoring employees for conflicts of interest.
Compliance with Confidence
Monitor and mitigate potential Code of Ethics, Conflict of Interest, or Personal Trading violations with a data-backed solution supported by 300+ direct broker feeds.
WITH CONFIDENCE.
Featured
COMPLY CCO Playbook
Download COMPLY’s CCO Playbook for a look at the past year’s compliance stats and an analysis of ongoing compliance challenges.