Kingdom Ridge Capital’s unique culture is built around compliance, with policies designed to prevent any insider trading. The policies of the company revolve around the role of the compliance officer, and it is his job to insure the venture’s principles so that they are implemented on a firm-wide scale. These principles are intended to display a strong sense of responsibility, which is one of the most important aspects in a hedge fund’s conduct.
Mike Manley’s responsibilities also involve the oversight of the traditional side of the business, and the monitoring of any potential compliance problems. He can also create tests to measure the company’s general compliance at every level. The company’s employees are instructed to report to the chief compliance officer whenever they come across any potentially sensitive issue. To achieve these goals, Kingdom Ridge Capital has a unique Code of Ethics in place, which allowed the company to develop their straightforward, strict and efficient insider trading policies. The team members within the company possess a copy of both the Code of Ethics and the Insider Trading Policies. They must read and sign-off on these on an annual basis. They have to live by them every day.
They also operate with a restricted trading list, which is consistently communicated to the employees; whenever there is a change, they update the list quickly and efficiently. The issue of insider trading is taken extremely seriously at Kingdom Ridge Capital, which can be seen in the extensive compliance policy, and is also reflected by the seminars that the company organizes each year.
These events are led by Kingdom Ridge’s legal counsel, who has one major objective during the seminars: to educate the company’s employees. The counsel provides relevant examples of insider trading, ensuring that the team has full understanding of specific situations that could be construed as insider trading. Kingdom Ridge has an additional compliance measure, maintaining a log of meetings that they have with senior management of public companies.
For more information visit other profile link for Kingdom Ridge Capital Insider Trading
http://www.authorstream.com/KRCinsidertrading/Kingdom-Ridge-Capital-Insider-Trading/
http://kingdomridgecapital.blogspot.com/
http://kingdomridgecapitalinsidertrading.blogspot.com/
https://medium.com/@KRCinsidertrading/kingdom-ridge-capital-insider-trading-87a604394af1#.71nu60rtj
Mike Manley’s responsibilities also involve the oversight of the traditional side of the business, and the monitoring of any potential compliance problems. He can also create tests to measure the company’s general compliance at every level. The company’s employees are instructed to report to the chief compliance officer whenever they come across any potentially sensitive issue. To achieve these goals, Kingdom Ridge Capital has a unique Code of Ethics in place, which allowed the company to develop their straightforward, strict and efficient insider trading policies. The team members within the company possess a copy of both the Code of Ethics and the Insider Trading Policies. They must read and sign-off on these on an annual basis. They have to live by them every day.
They also operate with a restricted trading list, which is consistently communicated to the employees; whenever there is a change, they update the list quickly and efficiently. The issue of insider trading is taken extremely seriously at Kingdom Ridge Capital, which can be seen in the extensive compliance policy, and is also reflected by the seminars that the company organizes each year.
These events are led by Kingdom Ridge’s legal counsel, who has one major objective during the seminars: to educate the company’s employees. The counsel provides relevant examples of insider trading, ensuring that the team has full understanding of specific situations that could be construed as insider trading. Kingdom Ridge has an additional compliance measure, maintaining a log of meetings that they have with senior management of public companies.
For more information visit other profile link for Kingdom Ridge Capital Insider Trading
http://www.authorstream.com/KRCinsidertrading/Kingdom-Ridge-Capital-Insider-Trading/
http://kingdomridgecapital.blogspot.com/
http://kingdomridgecapitalinsidertrading.blogspot.com/
https://medium.com/@KRCinsidertrading/kingdom-ridge-capital-insider-trading-87a604394af1#.71nu60rtj