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 Personal Securities Transaction – Checklist addresses issues such as regulatory reporting/approval requirements for access persons and cherry picking, front-running, pump-and-dump schemes and other suspicious trading patterns.
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. Last updated in March 2022.
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