The Importance of Employee Trade Monitoring and Having a Code of Ethics

Do you know why having a code of ethics and demonstrating good conduct, integrity and no conflict of interest with investor clients is so important? All financial institutions have a desire to demonstrate strong ethical practices and policies, but establishing and maintaining an effective surveillance program to monitor employee trading present many tactical challenges. View our on demand webinar to learn why employee trade monitoring and having a code of ethics is critical at a time of heightened fiduciary duties.

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