Insider Trading Compliance Programs & Surveillance

DuMont Consulting delivers comprehensive insider trading compliance programs designed to help broker-dealers, investment advisers, and other regulated financial institutions proactively detect, prevent, and remediate insider trading risks. With insider trading enforcement remaining a top regulatory priority for both the SEC and FINRA, firms must maintain robust policies, surveillance systems, and supervisory controls that demonstrate a strong culture of compliance and investor protection.

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Our insider trading compliance services begin with the development and customization of written policies and procedures tailored to each firm’s business model, trading activity, access to material non-public information (MNPI), and regulatory obligations. These policies address information barriers, restricted and watch lists, personal trading rules, research analyst controls, and escalation protocols to ensure potential risks are identified and managed promptly. DuMont ensures all documentation aligns with current regulatory guidance and examination expectations.

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DuMont Consulting also designs and implements ongoing insider trading surveillance frameworks, including trade monitoring, exception reporting, and periodic risk assessments. We help firms establish clear supervisory review processes to analyze unusual trading patterns, identify potential red flags, and document investigative steps. Our approach emphasizes defensible oversight, ensuring firms can demonstrate reasonable supervision and timely response during regulatory examinations or enforcement inquiries.

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Training and education are a critical component of effective insider trading compliance. DuMont provides targeted training programs for registered representatives, investment professionals, executives, and supervisory personnel, reinforcing awareness of insider trading laws, firm policies, and real-world risk scenarios. Regular training helps foster accountability and reduces the likelihood of inadvertent violations stemming from poor understanding or weak controls.

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For firms utilizing outsourced CCO services for investment firms, insider trading compliance becomes an integrated, continuously monitored function rather than a static policy exercise. DuMont delivers ongoing oversight, periodic program reviews, and enhancements as trading strategies, personnel, or regulatory expectations evolve. This proactive approach strengthens detection and prevention efforts, reduces enforcement exposure, and supports a resilient compliance infrastructure that protects both the firm and its clients.