SEC Rule 10b5-2
SEC Rule 10b5-2 expands upon the insider trading rules of SEC 10b5. In an effort to protect traders, the SEC has created a number of rules that all companies must follow to remain compliant. These rules have created the need for more advanced tracking tools to help mitigate risk and improve employee productivity. The Compliance11 suite of supervisory software does just that, providing the following benefits:
- Create standardized procedures and company policies
- Automate tracking of contracts and projects
- Automate employee correspondence as it relates to compliance
- Organize all SEC rules into one easy-to-access repository
- Provide links to all relevant regulations
- Sort regulations by product line and entity
Compliance11 - Your SEC Rule 10b5-2 Compliance Partner
Company executives are under a tremendous amount of pressure to track all employee trading activities for accuracy and compliance. Compliance11 allows them to do so with complete confidence. With Compliance11 as your company's compliance partner, your work force can once again focus their efforts on more important matters, like building your business.
SEC Rule 10b5-2 Executive Summary
"Rule 10b5-2 addresses the issue of when a breach of a family or other non-business relationship may give rise to liability under the misappropriation theory of insider trading. The rule sets forth three non-exclusive bases for determining that a duty of trust or confidence was owed by a person receiving information, and will provide greater certainty and clarity on this unsettled issue. http://www.sec.gov/rules/final/33-7881.htm.
For more information on our compliance suite of applications, email us at info@Compliance11.com or schedule a demo today.