Regulatory Compliance Association Reviews

Code of Ethics and Personal Securities Trading™

Practice Edge 02

Code of Ethics and Personal Securities Trading™

Date: February 26, 2015
General Session: 12 Noon to 1:30 PM
Location: Webcast (Free)

Interested in Continuing Compliance Education™, CLE or CPE (A & A hours), attend via the RCA’s Online University (On Demand) – free for Practice Edge Elite Members

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This course sets forth the regulatory requirements under SEC Rule 204A-1 that requires registered investment advisers to adopt and enforce a written code of ethics, as well as monitor the personal securities transactions and holdings of certain employees. It has been developed for chief compliance officers, compliance directors and other compliance personnel of investment advisers, which have been tasked with enforcing compliance with the firm’s code of ethics through monitoring and testing of personal securities trading activities of employees.

 Students will master the following at the conclusion of this session:

• The minimum regulatory requirements for a code of ethics
• Who should be subject to the code of ethics
• The minimum reporting requirements on personal securities transactions of access persons
• Considerations in developing a personal securities trading policy including:
• A pre-approval process
• Use of a restricted list
• Blackout dates
• Techniques to monitor and test personal securities trading
• The benefits of automated solutions to monitor personal securities trading

Session Chairman:
Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:
Daniel New, CPA, Executive Director, Ernst & Young

Guest Lecturers:
Timothy Welsh, JD, Manager | Financial Services Office, Ernst & Young
Mike Neus, JD, Managing Partner & General Counsel, Perry Capital
Barbara Keller, Deputy Compliance Officer, Nomura
Helane Morrison, JD, General Counsel & Chief Compliance Officer, Hall Capital
Craig Ryan, Manager| Financial Services, Ernst & Young