Insider Trading-Prevention

Below is a list of pre-emptive actions you can take to prevent the firm’s exposure to Insider Trading:

1. Annual Investment Adviser Representative attestations of the Code of Ethics, Compliance Manual, Outside Business Activities;

2. Thorough review of quarterly personal securities transaction reports;

3. Use of restricted securities lists, when appropriate;

4. Ongoing employee training; and

5. Clear and concise policies and procedures that are enforced equally across the firm.


This entry was posted in Uncategorized. Bookmark the permalink.

Leave a Reply

Fill in your details below or click an icon to log in: Logo

You are commenting using your account. Log Out /  Change )

Google photo

You are commenting using your Google account. Log Out /  Change )

Twitter picture

You are commenting using your Twitter account. Log Out /  Change )

Facebook photo

You are commenting using your Facebook account. Log Out /  Change )

Connecting to %s