Wednesday, March 30, 2005

Different Sides of Compliance

By Maria Santos Courtesy of Wall Street & Technology

Compliance experts from both the buy side and sell side share their firms' top priorities for 2005 and technology's role in achieving them.
Charles Field
General Counsel and Chief Compliance Officer, Nicholas Applegate Capital Management

Compliance Agenda

"We think that '05 is going to be the year that clients begin to look at compliance more and more," says Charles Field, general counsel and chief compliance officer for San Diego-based fund manager Nicholas Applegate Capital Management (NACM). He explains that compliance is a top-down firmwide approach at NACM that begins with a comprehensive code of ethics that governs everything from personal trading to the giving and receiving of gifts. Compliance also is embedded in the firm's practices through four core committees.

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