Michael Weissmann

Michael Weissmann is a Senior Vice President and Head of Ethic at Fidelity Investments.  The Ethics Office oversees policies related to employee conduct including personal trading (including private securities transactions), outside business activities, MNPI, gifts and entertainment, conflicts of interest, political law, registration and licensing, and compliance training.

Prior to the Ethics Office, Michael provided compliance support to Fidelity’s business and technology incubators and the businesses they launched including Fidelity’s digital asset businesses. Michael was also responsible for the Abandoned Property program and the Legal Operations team, as well as coordinating engagement on certain cross-enterprise regulatory issues.

Before joining Fidelity, Michael was a partner at two major international law firm where his practice focused on providing advice to broker-dealers and investment advisers on compliance with federal and state securities laws and regulations and SRO rules.  Michael also advised firms on responding to regulatory exams, and represented them in enforcement actions, investigations and in arbitrations.

3a. ALL – Ethical Practice Programs in Action (Intermediate - OPEN)