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 presents many tactical challenges.

Watch 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.