This PST – Checklist for Access Person with No Control Over Personal Account 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 in the KnowledgeBase: PST – Checklist for Access Person with No Control Over Personal Account Not Controlled by Access Person. Initially posted in January 2023.
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