Code of Ethics and Personal Account Dealing

Date: 
July 28, 2016 - 8:00 am
Type: 
Webcast
Division: 
Investment Adviser Private Fund Investment Company FCA (UK) Authorization

ACA Summer School is a series of complimentary webcasts targeted toward compliance professionals in the UK and Europe with an interest in learning more about the U.S. regulatory regime for SEC-registered advisors and managers, as well as those trading in U.S. markets.

This webcast discussion will include:

  • Review of the reporting requirements of Rule 204A-1
  • A discussion of “Beneficial Ownership” and “Control” with regard to employee accounts
  • SEC expectations with regard to personal securities trading by employees
  • A discussion of case studies and managing objections by employees