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Trading Compliance

Discussion in 'Banking, Finance, Investments' started by geniege, Dec 11, 2009.

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  1. Dec 11, 2009 #1
    geniege

    geniege Law Topic Starter New Member

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    My spouse works at one of the largest investment banks and therefore all our personal trades are subject to very strict compliance policy. Now I am about to open my own fund in which I will certainly be an investor. Does the trading for the fund subject to the compliance policy at my spouse's company? My spouse is a non-investment person at the investment bank. You advice is highly appreciated.
     
    geniege, Dec 11, 2009
    geniege, Dec 11, 2009
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  2. Dec 26, 2009 #2
    jharris352

    jharris352 New Member

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    I would imagine that your trading accounts would also be subject to a higher level of monitoring and compliance.
     
    jharris352, Dec 26, 2009
    jharris352, Dec 26, 2009
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