Posted under Compliance Program,Conflicts of Interest,Insider Trading,Trading on November 18th, 2008 by Judith Gross
For hedge fund compliance professionals, a primary part of their job responsibility is to prevent or detect front-running. In the hedge fund context, front-running is generally defined as a manager or employee taking a position in an equity security prior to the fund, or filling an order for their own account prior to the fund’s. [...]
Posted under Best Practices,Compliance Program,Conflicts of Interest on November 9th, 2008 by Judith Gross
The holiday season is upon us! What better time for hedge fund compliance professionals to revisit their gift-giving and gift-receiving policies! The over-arching compliance issue around gifts is that they should not result in, or even give the perception of, a conflict of interest. An example of this would be excessive gift giving from a [...]
