Personal Trading

This release from June 2015 recommends compliance staff dig deeper when determining that an access person's trading doesn't need review because it qualifies for an ...

You may wish to do more before deciding an access person’s personal trades don’t need to be reviewed because they supposedly fall under the code ...

Nearly all advisers don’t place a limit on the number of personal trades staff can make annually. The typical holding period – for firms that ...

(a) Definitions. For purposes of this section: (1) Access person means: (i) Any Advisory Person of a Fund or of a Fund's investment adviser. If ...

As a compliance officer, your role must include examining the personal securities trading of your firm’s employees. The SEC’s Office of Inspector General is now ...

This is the Advisers Act's code of ethics rule

Manually or electronically. Restricted lists or no-holes barred. Pre-clearance or trading freedom. Firm choice and its business often define how your peers set up their ...

The SEC prosecuted an alleged “cherry-picking” scheme that garnered nearly $2 million in illicit profits.

The recent embarrassment of an SEC examiner being charged with violating the agency's rules on personal trading (IA Watch, Nov. 25, 2013) won't change the ...