The ongoing insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals are reminders of the importance of an investment adviser having effective policies and procedures to detect and prevent the misuse of material nonpublic information.
Section 204A requires investment advisers to establish, maintain and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic information by the firm or its associated persons.
Watch this webinar recording for a discussion on:
- Recent insider trading cases involving securities professionals.
- Elements of an effective insider trading policy and code of ethics.
- How technology can help your firm properly protect against this kind of risk.
