Personal Trading – Rule vs. Best Practice
Date
Time
Location
Your desk!
Type
Webcast
We invite you to join ACA for a 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