Title: Practical Considerations to Automating Administration of Your Code of Ethics and Personal Trading Policies and Procedures.
Date: Thursday, April 19, 2012
Time: 1:00 PM - 2:00 PM EDT
This webinar will look at the practical considerations of automating administration of your Code of Ethics and personal trading policies and proceduries. We will look at the following:
(1) Overview of what is required as part of a code of Ethics Policy.
(2) Reporting requirements of your code of Ethics Policy.
(2) Overview of the Employee Trade Monitoring requirements.
(3) Capture of employee trade Data.
(4) Automating Employee Trade monitoring (Different types of Rules).
(5) Practical Considerations when designing automating trade monitoring procedures (data etc).
Tricia Maxey is the Managing Member of Acadia Compliance Services. She has more than 15 years experience working in the financial services industry. Most recently, she has served as General Counsel and Chief Compliance Officer for a number of start up and mid-sized investment adviser firms in New York. Prior to coming to Wall Street, Tricia worked as an investment management attorney in the Washington, DC law firm of K&L Gates LLP.
Tricia has direct experience in building and executing compliance programs as well as auditing existing programs for a variety of financial services organizations. She has headed up a number of investor due diligence audits as well as run numerous routine and enforcement SEC exams and understands what the regulators expect from your firm. Her experience in dealing directly with the Staff is a valuable key to a successful exam.
Michelle Inferri is head of sales at MyComplianceOffice. MyComplianceOffice is a web-based software solution specifically designed for SEC registered investment advisers. It automates and centralizes a firm's compliance procedures and activities such as certifications, code of ethics, personal trading and policy management.
After registering you will receive a confirmation email containing information about joining the Webinar
Required: Windows® 7, Vista, XP or 2003 Server
Required: Mac OS® X 10.5 or newer