Creating comprehensive insider trading policies requires navigating complex SEC regulations, coordinating multiple compliance requirements, and ensuring every provision meets current regulatory standards. Compliance teams spend hours researching requirements, drafting Chinese wall procedures, and customizing pre-clearance protocols—all while managing risk exposure during the drafting process.
Creating comprehensive insider trading policies requires navigating complex SEC regulations, coordinating multiple compliance requirements, and ensuring every provision meets current regulatory standards. Compliance teams spend hours researching requirements, drafting Chinese wall procedures, and customizing pre-clearance protocols—all while managing risk exposure during the drafting process.
CaseMark automates insider trading policy creation with AI-powered drafting that incorporates all essential regulatory components. Generate complete, customizable policies covering MNPI prohibitions, information barriers, restricted lists, and reporting requirements in minutes, ensuring your financial firm maintains robust compliance documentation without the manual effort.
This workflow is applicable across multiple practice areas and use cases
Securities attorneys must draft insider trading policies that comply with SEC Rule 10b-5, Section 16 requirements, and FINRA regulations for broker-dealers and public companies.
This is a core securities law compliance document directly addressing SEC and FINRA regulatory requirements for preventing insider trading and managing material non-public information.
Insider trading policies are essential corporate governance documents that boards and general counsel must implement to protect the company and ensure director/officer compliance with securities laws.
Corporate governance practice heavily involves drafting and maintaining policies governing insider trading, material non-public information handling, and trading windows for executives and board members.
Corporate attorneys regularly draft insider trading policies as part of comprehensive corporate compliance programs, particularly for public companies and pre-IPO entities preparing for public offerings.
General corporate practice includes creating and updating insider trading policies for clients, especially when companies go public, implement stock option plans, or establish compliance frameworks.
M&A attorneys need robust insider trading policies and Chinese wall procedures to manage confidential deal information and prevent improper trading during transactions involving material non-public information.
M&A transactions create significant insider trading risks requiring strict information barriers, restricted lists, and pre-clearance procedures to protect deal confidentiality and prevent securities violations.
CaseMark generates comprehensive policies covering MNPI prohibitions, tipping restrictions, information barriers (Chinese walls), restricted lists, pre-clearance requirements, and employee reporting obligations. Each section is customizable to your firm's specific structure and regulatory needs.
With CaseMark, you can generate a complete, customizable insider trading policy in approximately 8 minutes. Traditional manual drafting typically requires 6-7 hours of attorney or compliance officer time to research, draft, and review all necessary provisions.
CaseMark incorporates current regulatory requirements into policy templates, covering essential compliance elements required by securities regulators. While the output provides a strong foundation, firms should have their compliance team review the final policy to ensure alignment with their specific regulatory obligations.
Yes, CaseMark allows full customization of all policy sections including information barriers between specific departments, restricted list procedures, and pre-clearance workflows. You can tailor the policy to match your firm's organizational structure and compliance framework.
CaseMark's policy clearly distinguishes these concepts: insider trading prohibition prevents employees from trading on material non-public information (MNPI), while tipping prohibition prevents employees from sharing MNPI with others who might trade on it. Both sections are automatically included with appropriate legal language.
CaseMark generates detailed information barrier provisions that establish procedures to prevent MNPI flow between departments like investment banking and trading. The policy includes specific protocols for physical separation, communication restrictions, and monitoring procedures tailored to financial services firms.
Yes, you can regenerate or modify your insider trading policy at any time using CaseMark. As regulatory requirements evolve, simply update the relevant sections and generate a revised policy in minutes, ensuring your compliance documentation stays current without starting from scratch.