Print PDF Trading/Ethical Policies and Compliance

Our clients’ complex business operations and trading activities give rise to equally complex risks.  Our clients often engage RK&O to tailor compliance policies and procedures designed to address the myriad rules and regulations that govern their domestic and international conduct as they seek to protect their franchises against legal, regulatory and reputational risks. 

We routinely assist clients in drafting or revising codes of conduct and other policies and procedures concerning insider trading, personal trading, the Foreign Corrupt Practices Act, anti-money laundering legislation and the Investment Advisers Act.  We frequently help clients to develop and implement, in conjunction with in-house legal and compliance staff, specialized training programs covering the above matters.  From the initial development and implementation of compliance and training regimes to best practice enhancements and situation-specific approaches to regulatory or trading issues, our lawyers develop strategies built on market-based pragmatism. 

Publications

• "A Loan Trader's Guide to Commercial Real Estate Loans" by Jon Kibbe, Paul Haskel, Michael Friedman and Kenneth Werner
• "Proposed SEC Rules on Uniform Fiduciary Standard Expected Soon" by Arthur S. Greenspan, published in Bureau of National Affairs Securities Regulation & Law Report
• "Clamping Down on Kleptocrats" by William Barry and Sarah Swanz published by Risk Management
• "Fund managers: Prepare for Bribery Act" by Carl Winkworth and William Barry published in Financial Times

Presentations

• RK&O partners participate in the panel discussion "Receiving Information, Managing Risk, and Preserving Liquidity: Strategies for the Current Regulatory Landscape" at the Financial Services General Counsel Luncheon in San Francisco
• RK&O partners present "Receiving Information, Managing Risk and Preserving Liquidity: Strategies for the Current Regulatory Landscape" at the Alternative Asset Management General Counsel Luncheon in New York City
• Jon Kibbe speaks at the 15th Annual Conference of The Loan Syndications and Trading Association
• William Barry speaks at the New York State Bar Association Annual Meeting

News & Announcements

• U.S. News-Best Lawyers awards RK&O "Law Firm of the Year" in White Collar-Government Investigations Law and recognizes firm's other practice areas
• Eva Marie Carney quoted in The Hedge Fund Law Report article "Use by Hedge Fund Managers of Restricted Lists, Watch Lists and Ethical Walls to Prevent Insider Trading Violations"
• Richards Kibbe & Orbe LLP names Jeffrey Lehtman a partner and Catherine Turgeon and Ryan Jackson counsel
• "SEC Examinations of Investment Advisers" webcast, co-presented by Eva Marie Carney, covered in The Hedge Fund Law Report