Code of Ethics monitoring and surveillance remains one of the most actively managed areas of companies’ compliance programs. It is also one of the most significant areas of RegTech adoption. In this webcast, industry professionals as well as ACA experts will explore the best practices and lessons learned in code of ethics monitoring and personal trade surveillance as well as looking at the future of RegTech in this area.
Specially, our expert panel will be exploring the following Code of Ethics topics:
- Top-down Code of Ethics leadership
- Robo advisers
- Managed Accounts
- Whistleblower polices and procedures
- Pay to Play