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Code of Ethics, Conflicts of Interest, and Personal Trading

Rule 204A-1 of the Investment Adviser’s Act requires firms to implement and maintain a Code of Ethics, which, among other things, requires the supervision of employee personal trades. While straightforward on paper, the process of preclearing, tracking, and verifying your employees' personal trades and conflicts of interest can be an onerous one...especially if you rely on manual processes.

Manage and mitigate employee trade risk with a technology partner as dedicated to your compliance program as you are.

Compliance with Confidence

Monitor and mitigate potential Code of Ethics, Conflict of Interest, or Personal Trading violations with a data-backed solution supported by 300+ direct broker feeds. 




Download COMPLY’s CCO Playbook for a look at the past year’s compliance stats and an analysis of ongoing compliance challenges.