News & Media

Personal Trading Policies and Procedures Including Insider Trading Rules, National Society of Compliance Professionals – National Membership Meeting, Fall 2003

The Securities and Exchange Commission (“SEC”) has placed a significant amount of enforcement and examination emphasis on personal trading and insider trading policies and procedures of investment advisers. Investment advisers are required to have written supervisory procedures to prevent insider trading and to prevent vicarious liability for personal trading. The absence of procedures and policies […]

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