Helps employees navigate quiet periods and SEC regulations — turning potential insider trading violations into coaching moments before material non-public information is shared or acted upon.
Employees who know about upcoming acquisitions, earnings surprises, or material events don't always realize when a casual comment crosses the line. A text to a friend, a Slack message to a colleague, or an email suggesting someone "buy shares" can trigger SEC investigations. SideNote coaches your teams at the moment of writing, reinforcing your insider trading policies before MNPI is shared.
Sharing or acting on material non-public information violates SEC regulations and company policy. Unannounced acquisitions are MNPI — do not share or recommend trading. Review the company's insider trading policy immediately.
Developed in collaboration with Big Law securities practitioners, this model reinforces your organization's insider trading policies at the point of communication.
Identifies references to material non-public information in real time — unannounced earnings, pending M&A transactions, regulatory decisions, material contracts, and other price-sensitive events — across all communication channels.
Provides heightened coaching during blackout and quiet periods. When employees are subject to trading restrictions, SideNote reinforces the boundaries and explains why certain communications carry elevated risk.
Detects language suggesting trading activity, stock recommendations, or tipping behavior — coaching employees on proper procedures, pre-clearance requirements, and the personal consequences of insider trading violations.
Aggregated, anonymized analytics give the General Counsel's office visibility into MNPI risk patterns, quiet period compliance rates, and communication hotspots — enabling targeted training and proactive policy enforcement.
The Securities & Insider Trading model is essential for any publicly traded company, pre-IPO organization, or financial services firm where employees regularly encounter material non-public information — from deal teams and finance departments to executive leadership and board members.
Deploy alongside the Core 4 models to extend protection to your corporate development, investor relations, finance, legal, and executive teams — the people most likely to possess MNPI and face insider trading risk.
See how the Securities model coaches your teams to navigate MNPI, quiet periods, and trading policies in every communication.
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