Capturing Employee Personal Trades

Automating the monitoring of personal trade accounts requires the capture of trade data in an electronic format. Data capture is an important topic and one that is not always fully understood. Typically, firms begin data capture by acquiring direct feeds from the major brokerage firms. This can resolve 60-70% of trade capture needs for US accounts. A good start, but significant challenges remain; the 30-40% of US accounts that are not captured as well as the non-US trading activity ,typically 80-90%.

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FCA Issues New Guidance on Personal Account Dealing Compliance

The Financial Conduct Authority (FCA) issued Market Watch 62 in October in which the regulator shared its concerns about personal account dealing (PAD), or rather when employees of an authorized firm trade for themselves rather than clients.  

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The UK’s biggest ever Insider Trading Case Reaches a Verdict

This Monday saw two men, Martyn Dodgson and Andrew Hind found guilty of insider trading after a four month trial in what is Britain’s biggest ever insider trading case.

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