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Topic: Personal Trading

New OCIE Risk Alert Focuses on Principal Trading and Agency Cross Trading

September 6, 2019
The SECís Office of Compliance Inspections and Examinations, in a September 4 Risk Alert, lets advisers know the most frequent principal trading and agency cross-transaction compliance issues that examiners observed Ė and therefore what firms can expect examiners to make a point of looking at during future visits.

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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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