kingdom ridge capital insider trading how to build a lasting compliance culture
TRANSCRIPT
H O W T O B U I L D A L A S T I N G C O M P L I A N C EC U L T U R E
K I N G D O M R I D G E C A P I T A LI N S I D E R T R A D I N G
K I N G D O M R I D G E C A P I T A L I S C O M M I T T E D T O H A V I N G A B U S I N E S S
C O N D U C T T H A T R E S O N A T E S W I T H T H E G U I D E L I N E S A N D R E G U L A T I O N S
O F S E C , I N C L U D I N G T H E I R S T A N C E O N I N S I D E R T R A D I N G .
K I N G D O M R I D G E C A P I T A LI N S I D E R T R A D I N G
T O M A I N T A I N T H E S E S T A N D A R D S , K I N G D O M R I D G E C A P I T A L H A V E A
C C O I N P L A C E W H O I S P R I M A R I L Y R E S P O N S I B L E F O R T H E
C O M P A N Y ’ S C O L L E C T I V E C O M P L I A N C E .
K I N G D O M R I D G E C A P I T A LI N S I D E R T R A D I N G
T H E B A S I S O F A C O M P L I A N C E P R O G R A M
H A V I N G A C H I E F C O M P L I A N C E O F F I C E R – W H I C H I S A P O S I T I O N H E L D
B Y M I K E M A N L E Y A T K I N G D O M R I D G E C A P I T A L – I S E X T R E M E L Y
I M P O R T A N T . O N C E A C C O I S I N P L A C E , T H E N E X T S T E P I S T O C R E A T E A
M A N U A L T H A T S U M M A R I Z E S T H E C O N D U C T , P R A C T I C E S , A N D G E N E R A L
P O L I C I E S O F T H E F I R M .
K I N G D O M R I D G E C A P I T A LI N S I D E R T R A D I N G
C O D E O F E T H I C S
T H E A C T U A L C O D E O F E T H I C S I S T H E N E X T S T E P . F O R H E D G E F U N D S T H A T A R E
R E G I S T E R E D W I T H T H E S E C U R I T I E S A N D E X C H A N G E C O M M I S S I O N , H A V I N G A
C O D E O F E T H I C S I S A C T U A L L Y M A N D A T O R Y , W H I C H M A K E S T H E P R O C E S S A
L I T T L E M O R E S T R A I G H T F O R W A R D .
K I N G D O M R I D G E C A P I T A LI N S I D E R T R A D I N G
T H E C O E H A S V A R I O U S F U N C T I O N S , I N C L U D I N G P R O V I D I N G G U I D E L I N E S T O T H E
E M P L O Y E E S S O T H E Y U N D E R S T A N D T H E I R D U T I E S A L I T T L E B I T B E T T E R .
K I N G D O M R I D G E C A P I T A L ’ S C O D E O F E T H I C S D E A L S W I T H A W I D E V A R I E T Y O F
P O T E N T I A L I S S U E S , I N C L U D I N G P O S S I B L E I N S T A N C E S O F I N S I D E R T R A I N I N G .
K I N G D O M R I D G E C A P I T A LI N S I D E R T R A D I N G
F O R M O R E I N F O R M A T I O NF O L L O W U S
https://medium.com/@kingdomridgecapitalhttps://kingdomridgecapitalinsidertrading.wordpress.com/
https://kingdomridgecapital.wordpress.com/https://issuu.com/kingdomridgecapital
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