Professional Services Employees: Why Are They Held To Different Market Abuse Standards?

Watch this free video to learn how to prevent market abuse in your firm

In this video, corporate compliance attorney Jonathan Armstrong from Cordery Compliance and Terry Dawson from StarCompliance discuss why professional services employees, such as lawyers and accountants, aren’t held to the same standards as other financial services employees when it comes to market abuse regulation. In fact, regulators do expect professional services employees involved in deals to lock their lips as regards MNPI, the same as anyone else involved in a deal. But various factors keep regulators from looking too closely at such potentially harmful activities or coming down too hard on insider trading transgressions. In this video, Jonathan Armstrong offers advice on how firms can be smarter and more proactive about insider trading activity as it relates to their professional services employees.