Compliance Points for Insider Trading, MNPI

The news headlines continue to be filled with insider trading scandals. Now is a great time to provide employees with additional training on what constitutes insider trading and the potential repercussions of acting on such information.

The Inside Scoop on Insider Trading

The Inside Scoop on Insider Trading Whistleblowers, Witnesses and Wiretaps: increasing use of technology means an increasing number of enforcement cases. Now is the time to re-evaluate your firm’s Insider Trading Policy. Listen now for some ways you can keep … Read more

Ascendant Compliance Conference Recap

Ascendant Compliance Conference Recap If you missed our Ascendant Compliance Conference in Scottsdale, or if you were able to attend and want a quick recap of the important topics to share with your firm, we summarize the key points raised … Read more