White Papers
Code of Ethics Best Practices
This white paper is a guide for creating a Code of Ethics for Broker Dealers, Investment Advisors and Hedge Funds. It describes the topics that should be contained in a Code of Ethics and gives example questions to include in periodic certifications to the Code. The paper draws on the results of an industry wide survey that quantifies industry trends. The appendix includes a sample Code of Ethics.
Personal Trading Policy Best Practices
This white paper includes a sample Personal Trading Policy and explains the factors to consider when customizing a Personal Trading Policy. The paper draws on the results of a Personal Trading Survey of Compliance Officers of BDs, IAs and Hedge Funds that Compliance11 conducted.
Electronic Brokerage Feeds
This white paper explains the different methods of receiving electronic feeds from brokerages for Compliance purposes.