Category Archives: Asset Management

Building Modern Personal Trading Programs: Where Technology Makes a Difference

Why Modern Oversight Programs Matter More Than Ever Organizations across industries—including financial services, corporate environments, healthcare, consulting, and fast-growth technology firms—are facing increased expectations around employee conduct, conflict of interest management, and enterprise governance. Personal trading oversight is one of the most visible examples of these programs, but the underlying principles extend well beyond investment …

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The Importance of Ethical Compliance Practices in Asset Management

With the financial industry facing increasing scrutiny and evolving regulatory frameworks, maintaining ethical compliance in asset management has become a fundamental necessity. As regulatory scrutiny intensifies and investor expectations shift towards greater transparency and accountability, Chief Compliance Officers (CCOs) and Chief Operating Officers (COOs) play a crucial role in ensuring that their firms uphold the …

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Mitigating Risk in Asset Management: Key Lessons from the Ken Leech SEC Case

In the world of asset management, the recent charges against Ken Leech, the former Co-Chief Investment Officer of Western Asset Management Co., serve as a stark reminder of the critical importance of adhering to meticulous trade allocation processes. The Securities and Exchange Commission’s (SEC) announcement in November 2024 highlighted Leech’s fraudulent activities—allegedly engaging in “cherry-picking” …

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