Personal Trading – Rule vs. Best Practice

Date
Time
On Demand
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