Daily Archives: September 8, 2016, 3:17 pm

SECs Trader-Based Approach To Insider Trading Enforcement – Lexology

The SEC’s increasingly sophisticated ability to, in Friestad’s words, connect “patterns of trading to sources of material nonpublic information,” therefore, should sound as an alarm bell to professional traders and portfolio managers whose otherwise innocent trading may come under enhanced scrutiny, and to compliance departments tasked with administering information controls, reviewing employee personal trading and conducting post-trading surveillance reviews. Compliance…

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