Kingdom Ridge Capital Insider Trading: How the Right Policies Can Help You Avoid Front Running and Insider Trading

At Kingdom Ridge Capital, they put policies in place to avoid not just insider trading but also front running. For example, each employee must get approval to buy or sell securities in their personal account.  This allows Kingdom Ridge’s Chief Compliance Officer to compare the trading request to the firm’s restricted list.  If the requested transaction is a security sale, it allows the CCO to determine if the trade would occur inside the restricted trading window.  It also enables Kingdom Ridge executives to determine if the requested trading would run counter to the interests of the firm and its investors. As the Chief Compliance Officer of the hedge fund, it is Mike Manley’s responsibility to preserve a system where he has the ability to veto employee trades.

Kingdom Ridge Capital runs a tight ship in terms of trading policies – whether that be for personal trading or insider trading.  This control system allows the firm to be successful while eliminating the possibility of any trading activity that is illegal and/or runs counter to the fiduciary responsibility of the fund.

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Author: kingdomridgecapital

Kingdom Ridge Capital is a company that is dependent upon a great deal of fundamental research, and the nature of this research is inherently challenging. Any bottom-up investment fund will rely upon understanding what is happening in the real world and reducing it to the numbers that drive their financial models.