Kingdom Ridge Capital, LLC is one of many SEC-registered firms that employs a skilled Chief Compliance Officer (CCO), like Mike Manley, to protect it from compliance issues like insider trading. Manley develops, updates and implements the company’s complete culture of compliance.

A culture of compliance within a firm like Kingdom Ridge Capital Insider Trading LLC addresses general conduct, ethics, insider trading, industry training and all other compliance-related issues. Culture management alone is a big task, but a CCO also handles duties such as those touched on below:

Responding to Queries – A CCO is in charge of responding to queries and government investigations regarding compliance. He or she is the principal point of contact within the company or firm.

Independent Investigation – A CCO conducts independent investigation on all matters of compliance within the company and is in charge of resulting correction actions. If the CCO learns of matters requiring investigation through a consistent monitoring system and through reports of employees, which are generally required per the company’s code of conduct.

Monitoring Processes – A CCO monitors external review processes and works with executive members to respond to any audit reviews and compliance issues.

Annual Planning – A company’s CCO is in charge of developing an annual compliance training and implementation plan to reflect the interests of the organization.

Manley is Kingdom Ridge Capital, LLC’s defense against all compliance issues like insider trading. Without such a professional, companies incur higher liability and will likely face future legal troubles.

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