Personal Securities Transactions – Checklist for Reviewing PSTs

$175.00

This Personal Securities Transactions – Checklist for Reviewing PSTs is a sample checklist of some of the issues that an investment adviser firm’s chief compliance officer should consider when reviewing the personal securities transactions of the investment adviser firm’s access persons.

Included with Bronze, Silver, Gold & Platinum Packages.

Description

This Personal Securities Transactions – Checklist for Reviewing PSTs is a sample checklist of some of the issues that an investment adviser firm’s chief compliance officer should consider when reviewing the personal securities transactions (“PST”) of the firm’s access persons.

This sample checklist should not be considered a comprehensive listing of all compliance practices and issues related to a CCO’s review of the personal securities transactions and initial/annual personal holdings report.

Included with Bronze, Silver, Gold & Platinum Packages. Initially posted in September 2021.

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