Kingdom Ridge Capital Insider Trading: Unique Culture of Compliance to Prevent Insider Trading

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.

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Kingdom Ridge Capital’s Nick Caputo: The Fundamentals of Your Personal Development

Kingdom Ridge Capital’s Nick Caputo is a devoted professional who takes his personal development extremely seriously. Whether we are talking about work-related aspects or other facets of life, he works hard to improve and reach his goals. Personal development always implies a skill-based as well as an emotional evolution, but to achieve certain goals, one also has to embrace some basic principles.

Kingdom Ridge Capital’s Nick Caputo

Take Responsibility for Your Actions

Taking responsibility for your actions is one of the most basic concepts – and one could argue, a key ingredient – of self-improvement. You have to accept the simple fact that for your own actions, it is you and only you who has responsibility. Owning up to this is the first step towards progress.

Commitment

If you wish to see significant positive changes in your personal or professional life, chances are that you will have to make significant commitments. Thinking and planning has its place, but without taking action, they remain useless exercises.

Be Present Emotionally

Being emotionally present does not equal being emotional; it simply implies the presence of a passionate approach. The scale of your personal evolution correlates with your passion and dedication. When you are sure about your reasons and have the right mentality about the process, you will very likely reach your goals.

Your Goals Should Be Worthwhile

Set and pursue goals that you can look forward to, goals that make you more motivated. The best goals are those that you have to work hard for and that you can be proud of.

See the Results in Front of You

Maintaining a mental image of the envisioned outcome is extremely important. Visualize it daily, making it a part of your personal rituals.

Nick Caputo of Kingdom Ridge Capital is a big believer in personal development.

Sources:

http://advancedlifeskills.com/blog/7-fundamental-truths-about-personal-development/

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Kingdom Ridge Capital Insider Trading: Hedge Fund Code of Ethics

When it comes to a hedge fund’s code of ethics, there are usually three core principles that need to be mentioned: transparency, assessment and disclosures. Companies that develop a strong and efficient code of ethics – like Kingdom Ridge Capital – have a much higher chance of avoiding problems, like insider trading.
Valuation Policy

Kingdom Ridge Capital Insider Trading

It is very important for the manager to have a well-defined valuation policies, and that has to be communicated to the investors as well. When they know that the company does everything in its power to develop a highly transparent code of ethics (COE), they are more willing to invest. Conversely, if the COE has holes in it and the reevaluation reveals this, disclosing the information to them is just as important. The responsibility includes not just the manager, but also the valuation agents that often work for a third party, as well as the administrator. The code of ethics should reflect these responsibilities.

Governance Aspects 

On the issue of governance, most experts agree that companies need clear policies that can be followed easily, and that describe the standards of operation and what is expected from directors, partners, managers, and administrators. 

At Kingdom Ridge Capital, the leaders of the company developed a code of ethics that not only describes the company’s stance on their operations and insider trading, but also promotes the culture of compliance within the firm. 

Sources:
http://www.valuewalk.com/2014/12/hedge-fund-code-ethics-developed/

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Kingdom Ridge Capital Insider Trading: SEC Audits and How They Affect Financial Advisors

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

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

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Kingdom Ridge Capital Insider Trading: “Bottom Up” Stock Pickers

Investment firms like Kingdom Ridge Capital use fundamental analysis to decide which specific stocks to buy and sell. Wall Street insiders would call this stock picking. This approach implies concentrated effort on individual stocks instead of being concerned about broad investment themes.

Kingdom Ridge Capital Insider Trading

Kingdom Ridge Capital makes its investment or trading decisions based on what an investment industry insider would call “bottom up” analysis.  This means Kingdom Ridge’s analysts focus on analyzing detailed fundamental data such as revenue, gross margin, operating expense, interest expense, tax rate, share count, et cetera in order to logically model and project a specific company’s prospects.  This process can identify likely stock market winners and losers at a company level.  The Kingdom Ridge analyst team – Nick Caputo, Andy Cobb, Mark Zepf, Jim Jungjohann, Brian Thonn and Chris Zepf – is highly skilled at using fundamentals to identify and then quantify the likely EPS upside or downside that a company may experience in the future

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