On that note, a few thoughts on operating within the new workforce dynamics brought about by COVID-19. Companies should evaluate their insider trading policies and list of routine “insiders” in the context of changes in work and meeting environments. Some questions to evaluate whether the insider list needs to be adjusted or expanded are:
Has the “who” of meeting access changed? Many meetings are taking place online - who has access to those meetings?
Is an admin tasked with monitoring or facilitating the web meeting?
Are there IT employees who now have access to meeting recordings or archives?
Are meetings more easily overheard by family or household members?
4 Trends in Trading Blackout Periods
While not mandated under law, the use of blackout periods is a nearly universal component of the insider trading compliance programs of most publicly held companies. The SEC requires public comp...Read More
Tips to Aid Insiders in Trading During COVID-19
I recently wrote about the heightened level of interest and scrutiny regulators are placing on stock trades in light of COVID-19. Dramatic changes in the economic and business circumstan...Read More
Administration and Governance Challenges Meet Tech Innovation
When a company is growing at lightning’s pace, such growth can bring a need to streamline or expand processes to ensure errors and hiccups are minimized. Sometimes the momentum of expansion c...Read More
Insider Trading: Would You Sell Your Career for $100,000?
I’ve followed the topic of insider trading over many seasons and SEC enforcement actions, and the one thing that I probably find most fascinating is the “who” becomes entangled...Read More
New Laws for Insider Trading?
If someone asked you how to define “insider trading,” what would you say? Chances are, it would be something along the lines of “trading a stock for personal gain on the basis of ...Read More