Portfolio Manager · Public Markets · with the firm since 3 Feb 2021
7 entries involving Acme Ltd this year — USD 11,790 in benefits
One chronology across every declaration type: submissions, decisions, conditions and escalations.
Hospitality — Acme Ltd client lunch · USD 320
Declared same day. Above the USD 300 per-item threshold.
Outcome: Pending
Gift — Helios Energy hamper · USD 180
Seasonal hamper from the client relationship team.
Outcome: Approved
IPO allocation — TechIPO Inc · 500 shares
Filed for pre-approval before subscription.
Outcome: Pending
Gift item — watch · USD 8,500
Received and accepted from John Smith, CEO, Acme Ltd.
Outcome: Pending
Personal investment — NVIDIA · EUR 10,000
Buy, holding period longer than 30 days.
Outcome: Pending
Conflict — Acme Ltd directorship
Brother sits on the Acme Ltd board. Mitigation: full recusal.
Outcome: Pending
Trade request — Orion Utilities bond · USD 12,000
Pre-clearance requested before the dealing window closed.
Outcome: Approved
Hospitality — Acme Ltd conference pass · USD 450
Industry conference invitation hosted by Acme Ltd.
Outcome: Approved
Guest lecture — Bluewave Partners academy
Unpaid guest lecture; no client mandate overlap.
Outcome: Approved
Hospitality — Acme Ltd box at the Grand Prix · USD 2,100
Approved by Helen Marsh with a note on frequency.
Outcome: Approved
Gift — Northline Capital desk set · USD 260
Below the per-item threshold, logged for the counterparty cap.
Outcome: Approved
Hospitality — Meridian Audit dinner · USD 140
Working dinner during the audit cycle.
Outcome: Approved
Gift — Acme Ltd hamper · USD 420
Approved by Adrian Cole. Logged against the annual counterparty cap.
Outcome: Approved
Condition — declare every Acme Ltd benefit within 3 days
Attached to the March approval. In force until 31 Dec 2026.
Holdings update — quarterly brokerage statement
Routine disclosure of personal holdings.
Outcome: Approved
Escalated — restricted-list overlap
Sent to the Senior Executive Officer; trade later withdrawn.
Outcome: Escalated
Advisory role — Northline Capital
Rejected. Overlapping mandate with a client portfolio.
Outcome: Rejected
Open conflicts, approvals still running and conditions in force.
Conflict — Acme Ltd directorship (brother)
Recusal from all Acme-related decisions is being relied on.
Valid until Open-ended
Trade approval — NVIDIA, EUR 10,000
Approval window still running; no execution confirmation yet.
Valid until 13 Sep 2026
Declare every Acme Ltd benefit within 3 days
Set with the March gift approval.
Valid until 31 Dec 2026
Totals per counterparty this year and the mix of declaration types.
Per counterparty · 2026
By declaration type