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Personal Trading and Codes of Ethics

September 25, 2006

IA Week's 6th Annual Fall Compliance Conference

Sutherland Partner Bibb Strench will be on a panel titled "Personal Trading and Codes of Ethics."

The focus of the discussion will be on establishing the most effective controls to prevent employees from placing their own interests above those of clients. The panelists will provide guidance on what personal trading restrictions have worked best for firms across the country. 

The panel will address issues such as:

  • determining the scope of "supervised persons" 
  • restricting brokers
  • disclosing conflicts of interest
  • reporting code violations
  • placing limits on gifts and entertainment

For more information on the conference, click here.

To view the Financial Services homepage, click here

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Videocast: FINRA’s 2016 Disciplinary Program:  “YUUUGE” Fines May Propel 2016 to Record-Setting Year
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