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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"
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.