Trading Desk Practices

Trading desks, or where the sale or purchase of stocks and securities occur, should be tightly monitored by the corporation in which it is located in order to avoid a costly and time-consuming investigation or litigation by the federal government for questionable trade practices. Businesses should invest in regular internal investigation or auditing to prevent illegal trading, risking their reputation, livelihood and business. The markets have become increasingly regulated, and it is incumbent upon corporations and hedge fund managers to be aware of any changes that affect how, where and why one can trade securities.