Final Draft Of Research Presentation Ppt

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BA324 class Research Project final ppt.

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Final Draft Of Research Presentation Ppt

  1. 1. Communication and Ethics in Insider Trading <br />Group 6<br />Tristen Owens, Edward Sherfey, Justin Smith, <br />Lauren Savage, Michael Han <br />
  2. 2. Introduction/Background<br />FBI launched Massive Insider Trading Investigation<br />Definition: Insider trading—the trading in stocks based on exclusive access to confidential information ₁<br />We propose Three solutions<br />
  3. 3. Insider trading is a problem<br />Undermines the securities market <br />Undermines integrity of the company<br />Can cost billions of dollars<br />
  4. 4. Current Chinese Wall is Ineffective<br />Chinese Wall<br />Sales & Trading Department <br />Corporate Finance Department<br />Research Department <br />
  5. 5. New York Stock Exchange<br />Problems with Fast Paced Trade Market<br />http://www.nyse.com/about/history/1022221392987.html<br />
  6. 6. Goldman Sachs is in Trouble <br />Charges in 2001<br />Investigation in 2008<br />Current investigation in 2010 <br />
  7. 7. Compliance Officer<br />Independent Third Party<br />Salary not based on Goldman Sachs’ income<br />Monetary Incentive<br />
  8. 8. Ethics and Compliance Training <br />Mandatory for ALL employees<br />Eliminate Accidental Insider Trading<br />Strengthens Reputation<br />
  9. 9. Zero Tolerance Policy <br />Contract terminated without pay<br />Fear-tactic<br />Policy written into new contracts<br />Within one to two year full implementation<br />
  10. 10. Implications<br />People are hurt by insider trading<br />Insider trading is unethical<br />Solutions<br />
  11. 11. Conclusion <br />Statistics<br />100 more cases -> 14 percent increase <br />Less than 1% of the population<br />Solutions<br />Third party<br />Training<br />Zero Tolerance<br />
  12. 12. Q & A <br />
  13. 13. Citations <br /> Princeton University "About WordNet." WordNet. Princeton University. 2010. <http://wordnet.princeton.edu>.<br />

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