Checklist: Instituting a Code of Ethics and Personal Trading Policies | Wolters Kluwer Financial Services OneSumX
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  • Checklist: Instituting a Code of Ethics and Personal Trading Policies

    WP-IAComplianceInstitutingACodeOfEthicsAndPersonalTradingPoliciesChecklist-ThumbnailThis checklist provides a starting point for drafting or evaluating a Code of Ethics program, designing and assessing rules for testing compliance with personal trading parameters set out in the Code, and for evaluating technology solutions to mitigate resource constraints and risk for your compliance program.