Personal Trading – Rule vs. Best Practice

October 31, 2018 - 11:00 am to 12:00 pm
Investment Adviser
Enrique Alvarez, Anne Wallace, Nick McGrath

We invite you to join ACA Compliance Group’s Enrique Alvarez, Nick McGrath, and Anne Wallace on Wednesday, October 31, 2018 at 11:00 A.M. EST for a live webcast on Personal Trading – Rule vs. Best Practice.

Rule 204A-1 under Investment Advisers Act of 1940 (the “Code of Ethics Rule”) is a cornerstone of every registered investment adviser’s compliance program. In this webcast, we will be discussing the Code of Ethics Rule and the industry’s best practices in dealing with the personal trading requirements under the rule.

Discussion topics will include:

  • Cryptocurrency
  • Use of Technology
  • Personal Trading Surveillance
  • Material Non-Public Information
  • Restricted List and Watch List

There will be time allotted to answer specific questions and respond to comments from webcast attendees.

If the date and time do not work for you... 
As part of your registration, an archived version of the live event will automatically be emailed to you when it becomes available.