Brian Fortune speaks on ethics and integrity in investing

Author: Darcy Dehais

On Sept. 26, the Notre Dame Institute for Global Investing hosted a fireside chat with Brian Fortune, the general counsel and chief compliance officer at Holocene Advisors, LP, and NDIGI director Kevin Burke.

Holocene Advisors, LP, is an investment management firm pursuing a sector-diversified long/short equity strategy. Prior to Holocene, Fortune was the GC and CCO of ConatusCapital Management LP and Hunter Global Investors, both registered investment advisers.

Brian Fortune

Fortune presented on ethics and integrity in investing, covering various topics including the code of ethics, insider trading, and confidentiality and information barriers.After graduating with a Bachelor of Science degree from the State University of New York at Plattsburgh and a J.D. (cum laude) from New York Law School, Fortune began his legal career as a staff attorney in the Enforcement Division of the U.S. Securities and Exchange Commission.

Fortune also posed several hypothetical scenarios to the student audience, asking them to analyze situations and determine how to make the ethical decision. Fortune and Burke posed questions to the group, and these highly interactive discussions allowed students to think about how they would act as professionals in the investment industry.

He warned that even the best and brightest investors are at risk of breaking the code of ethics, and he encouraged the students to protect themselves and their employers by speaking with compliance early and often.