Insider Dealing





Employees who possess confidential information about their company are responsible for safeguarding that information. This obligation extends to the use of certain confidential, or "inside" information in making a decision to trade or not to trade securities, which is prohibited by law. This Compliance Impact explores one such opportunity faced by an employee who must decide what to do with confidential information he inadvertently discovers.


All employees


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Insider Dealing - The Memo

  • recognize examples of illegal insider dealing
  • define illegal insider dealing
  • recognize the consequences of illegal insider dealing
  • determine whether a specific scenario constitutes insider dealing, using an understanding of relevant regulations and ethical considerations
  • assess whether an individual's actions, such as purchasing shares based on non-public information, constitute insider dealing
  • evaluate if a disclosure in a public context constitutes unlawful disclosure of inside information
  • recognize the importance of avoiding illegal insider dealing
  • review what you've learned


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