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.

Fill in the form on the right to download the paper now!

PERSONAL TRADE MONITORING

Compliance Officers Implement Leading Practices to Better Manage Risk