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Topic: Personal Trading

Personal Trading: Take Steps to Detect and Prevent

October 9, 2015
Chief compliance officers need to monitor personal trading. It can be difficult to do, but it can be done.

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Ferret Out Personal Trading in Your Firm Before the SEC Does

March 21, 2014
Proactive steps you take now to uncover improper personal trading may save your firm a lot of grief later on.

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Portfolio Manager Faces SEC Action for Deceiving Chief Compliance Officer

September 6, 2013


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Guidance For Your Insider Trading Program

November 22, 2009


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CCOs Should Review Areas of Top Exam Deficiencies

February 20, 2009


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CCO Fired After Raising Front-Running Concerns

November 14, 2008


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Personal Trading: Reviewing Your Code of Ethics (Part 2 of 2)

November 7, 2008


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Richards: What Compliance Officers Should Focus On Now

October 24, 2008


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Personal Trading: Reviewing Your Code of Ethics (Part 1 of 2)

October 17, 2008


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Compliance in the Midst of a Market Crisis

October 10, 2008
Here is a suggested list of steps to take, tests to perform, and risks to evaluate during the current market crisis.

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Goodman on Industry Compliance Survey (Part 2 of 2): Best Ex and Fair Valuation

October 3, 2008


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SEC Investigating Hedge Fund Manager For Insider Trading

September 5, 2008


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Adviser Indicted for Felonious Cherry-Picking

September 5, 2008


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Preclearance of Personal Trades: Are De Minimis Exemptions Okay?

August 22, 2008


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OCIE Issues Second ComplianceAlert Letter

July 25, 2008


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Ways to Prevent Insider Trading

June 20, 2008


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CSX Case Throws Beneficial Ownership Determination into Question

June 13, 2008


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OCIE’s Top 10 Areas of Focus in Adviser Exams

March 24, 2008


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SEC Warns Unregistered Advisers on Insider Trading

March 17, 2008


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Beyond the Rule: Best Practices for Codes of Ethics

February 22, 2008


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