At a hedge fund like Kingdom Ridge Capital, the primary concern of the Chief Compliance Officer is to create ethics policies, insider trading policies and other regulatory policies and then monitor the firm’s compliance with these policies. The CCO must monitor firm email traffic, instant messaging, personal trading activities, etc. to make sure employees operate within the letter and spirit of applicable regulations.
SEC Audits
SEC Audits
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| Kingdom Ridge Capital Insider Trading |
Any investment firm – such as mutual funds and hedge funds – that are registered with the U.S. Securities and Exchange Commission can be audited by the SEC at any time. It may happen every other year or not happen for years, but the vast majority of firms that are investing in the stock market are audited at some point. The SEC audits firm policies, trading activities and compliance with regulations to make sure things are well run and that investor assets are being properly managed.
Sources:
http://www.investopedia.com/articles/financial-advisors/120815/sec-audits-what-financial-advisors-should-look-out.asp
For more information visit other profiles of Kingdom Ridge Capital Insider Trading :
https://kingdomridgecapitalinsidertrading.wordpress.com/
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https://kingdomridgecapital.wordpress.com/
For more information visit other profiles of Kingdom Ridge Capital Insider Trading :
https://kingdomridgecapitalinsidertrading.wordpress.com/
https://issuu.com/kingdomridgecapital
https://medium.com/@kingdomridgecapital
https://kingdomridgecapital.wordpress.com/