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Kingdom Ridge Capital, LLC - How is Insider Trading Training Upheld

Kingdom Ridge Capital, LLC’s Mike Manley is the Chief Compliance Officer (CCO) within the company and he upholds all insider trading regulations. Manley has stated that he implements a number of tools to build a strong culture of compliance. He developed a compliance manual to educate all firm-members on the company’s code of ethics, policies and procedures, and he keeps it continually updated.

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Kingdom Ridge Capital, LLC - How is Insider Trading Training Upheld

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  1. Kingdom Ridge Capital, LLC - How is Insider Trading Training Upheld? Kingdom Ridge Capital, LLC’s Mike Manley is the Chief Compliance Officer (CCO) within the company and he upholds all insider trading regulations. Manley has stated that he implements a number of tools to build a strong culture of compliance. He developed a compliance manual to educate all firm-members on the company’s code of ethics, policies and procedures, and he keeps it continually updated.

  2. Kingdom Ridge Capital, LLC - Is Insider Trading in the Compliance Manual? Kingdom Ridge Capital Insider Trading, LLC is a New York investment firm with a seasoned executive team. Among executive team members is Chief Compliance Officer Mike Manley, who manages the compliance manual and conducts regular insider trading training. The company’s compliance manual, which Manley refers to as a living document, covers insider trading in a complete, preventative section titled “Procedures to Prevent Insider Trading.” Kingdom Ridge Capital, LLC’s Chief Compliance Officer Mike Manley is on the company’s front lines in the fight against compliance issues such as insider trading. Manley ensures that information pertaining to compliance issues is readily available to all firm employees via a comprehensive compliance manual.

  3. Kingdom Ridge Capital, LLC - What Does Insider Trading Training Entail? Kingdom Ridge Capital, LLC’s Chief Compliance Officer, Mike Manley, strives to keep the company’s team educated on compliance issues such as insider trading through seminars and training. The 2015 training, held in December, entailed a review of theory and definitions, developments and examples. Like all of the company’s seminars and trainings, it concluded with a question and answer discussion session. Kingdom Ridge Capital, LLC is an alternative investment firm in New York that enforces a strict culture of compliance within the firm.

  4. Kingdom Ridge Capital, LLC - Are Insider Trading Training Sessions Comprehensive? Kingdom Ridge Capital Insider Trading, LLC is one of many investment firms that conducts regular insider trading training sessions for employees. With the insights of Chief Compliance Officer Mike Manley, the company’s seminars and training sessions on the topic are able to give all team members a comprehensive understanding. Each session concludes with a question and answer section to touch on any topics which members might need clarified after the complete training agenda.

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