The document outlines the Code of Ethics for Alkeon employees, emphasizing their fiduciary duty to prioritize client interests over personal investments. It details the requirements for preclearing trades, monitoring by the Compliance Director, and the prohibition of using non-public information. The document also addresses potential conflicts of interest in managing multiple accounts and the firm's approach to resolving them fairly.
doj/DataSet10/EFTA01374130.pdf
{"title":"Code of Ethics, Participation or Interest In Client Transactions and Personal Trading","key_people":["Paul Barren","Jennifer Shufro"],"document_type":"correspondence","document_subtype":"Code of Ethics","key_organizations":["Alkeon","Alpha Group Capital"],"reference_numbers":["DB-SDNY-0068671","SDNY_GM_00214855","EFTA01374130"]}