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U.S. Securities and Exchange CommissionPersonal Trading Compliance System (PCs) PRIVACY IMPACT ASSESSMENT (PIA)January 22, 2020Office of the Ethics CounselPrivacy Impact AssessmentPersonal Trading
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Access the personal trading compliance system using your credentials.
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Navigate to the 'Fill Out' section of the system.
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Review the provided instructions and guidelines for filling out the system accurately.
04
Enter your personal information, such as full name, contact details, and employee identification.
05
Provide detailed information about your trading activities, including the type of securities traded, transaction dates, and transaction amounts.
06
Attach supporting documents, if required, such as trade confirmations or account statements.
07
Verify the accuracy of the information provided before submitting the form.
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Submit the filled-out form in the personal trading compliance system.
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Who needs personal trading compliance system?

01
Anyone engaged in personal trading activities within an organization may need a personal trading compliance system.
02
This includes employees, contractors, and other individuals who are required to comply with regulations and policies regarding personal trading.
03
Typically, organizations in the financial industry, such as banks, brokerages, investment firms, and hedge funds, implement personal trading compliance systems.
04
These systems help ensure that individuals trading on behalf of the organization adhere to legal and ethical guidelines, prevent conflicts of interest, and maintain the integrity of the financial markets.
05
Compliance officers, legal teams, and regulatory bodies also benefit from personal trading compliance systems as they facilitate monitoring, auditing, and enforcement of trading policies.
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A personal trading compliance system is a framework put in place by financial institutions to monitor and regulate the personal trading activities of their employees or associated persons to prevent conflicts of interest and insider trading.
Typically, employees of financial firms, investment advisers, brokers, and anyone with access to material nonpublic information are required to file under the personal trading compliance system.
Filling out a personal trading compliance system usually involves completing a mandated trading disclosure form that details all personal trades, including the type of security, amount, and the date of the transaction.
The purpose of a personal trading compliance system is to ensure transparency, mitigate the risk of insider trading, and uphold the integrity and reputation of financial institutions by monitoring employees' trading activities.
Information that must be reported includes the type of securities traded, transaction dates, price, quantity, and the nature of the transaction (buy/sell), along with any potential conflicts of interest.
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