Please register below for this Smart Decisions whitepaper.

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What you’ll learn in this Smart Decisions Paper:

  • The SEC and FINRA surveillance requirements for personal trading.
  • Information you need to collect to remain compliant.
  • Steps others are taking to avoid inadvertent insider trading.
  • How account aggregation can reduce the amount of time spent monitoring personal trading.

Personal Trade Monitoring

Compliance Officers Implement Leading Practices to Better Manage Risk

Morningstar
 

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