Re:SEC charges Netflix insider trading ring
by traceroute66 on Wednesday August 18, 2021 @07:17PM
(#28228408)
Interesting. How far removed were you from regulated activities ? Did your firm and/or role have a retail facing element or only institutional ?
Most places I know of would not only have the sort of induction training you imply, but regular refreshers for anyone involved in regulated or at-risk activities.
Re:SEC charges Netflix insider trading ring
by fhood on Wednesday August 18, 2021 @07:58PM
(#28228743)
We had the refreshers as well. We theoretically had access to fairly extensive private data. Not without leaving a pretty extensive paper trail, but the access was there.
Most places I know of would not only have the sort of induction training you imply, but regular refreshers for anyone involved in regulated or at-risk activities.