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