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Personal Securities Transaction – Checklist for Personal Account Not Controlled by Access Person


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Personal Securities Transaction – Checklist for Personal Account Not Controlled by Access Person

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This Personal Securities Transaction - Checklist for Personal Account Not Controlled by Access Person is a sample checklist of issues an investment adviser firm faces when an access person utilizes a blind trust or third-party money manager for managing his or her personal account and is seeking an exception to the firm’s personal securities transaction policies and procedures on the basis that the access person does not have control of the personal account. Included with Gold, Platinum & Titanium Packages. Not in a package? Learn more here, or purchase form a la carte for $200 here.

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