Trading/Ethical Policies & Compliance

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Overview

RK&O advises on the unique risks associated with our clients’ complex business operations and trading activities. RK&O tailors compliance policies and procedures designed to address the myriad rules and regulations that govern clients’ domestic and international conduct, assisting their efforts 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:

  • Portfolio management
  • Insider trading prevention
  • Identification and mitigations of conflicts of interest
  • the Foreign Corrupt Practices Act
  • Anti-money laundering compliance
  • The full range of matters addressed by the Compliance Rule under the Investment Advisers Act

We work in conjunction with in-house legal and compliance staff to help our clients develop and implement 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.

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