Luxembourg Association of Compliance Officers Working Group N°7 Code of Ethics for the Luxembourg Mutual Funds Industry Working Group: Lou Kiesch, Deloitte & Touche (Rapporteur)

Source URL: www.alco.lu

• Financial markets
• Financial regulation
• Corruption
• Insider trading
• Best execution
• Conflict of interest
• Algorithmic trading
• Repurchase agreement
• Business ethics
• Financial economics
• Finance
• Investment

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 11, 2015 ADMINISTRATIVE PROCEEDING

Source URL: www.sec.gov

• NCR Corporation
• Mechanical engineering
• Economics
• Building engineering
• 73rd United States Congress
• United States Securities and Exchange Commission
• United States securities law
• Tender offer
• Insider trading
• Business
• Heat transfer
• Radiant Systems

Ref. Ares[removed][removed]2014 REQUEST TO ESMA FOR TECHNICAL ADVICE ON IMPLEMENTING ACTS CONCERNING THE REGULATION ON INSIDER DEALING AND MARKET MANIPULATION (MARKET ABUSE) ((EU)No XXX/2014)

Source URL: ec.europa.eu

• European Securities and Markets Authority
• Esma
• European System of Financial Supervisors
• Regulation
• European Insurance and Occupational Pensions Authority
• Council Implementing Regulation (EU) No 282/2011
• European Union
• Public administration
• Europe

ICMA response to ESMA Consultation Paper on draft technical standards on the Market Abuse Regulation

Source URL: www.isma.org

• Economics
• United States securities law
• ICMA
• 73rd United States Congress
• United States Securities and Exchange Commission
• Markets in Financial Instruments Directive
• Securities Act
• Insider trading
• Security
• Stock market
• Financial system
• Financial economics

#..SEC-5 System name: Ownership Reports and Insider Trading Transaction Records Filed under the Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of[removed]SEC. System

Source URL: www.sec.gov

• United States Securities and Exchange Commission
• Financial economics
• Financial system
• Stock market
• Securities Exchange Act
• Securities Act
• U.S. Securities and Exchange Commission
• Securities regulation in the United States
• Investment Company Act
• United States securities law
• Financial regulation
• 73rd United States Congress

Your grandmother didn’t send you insider stock tips. Your college roommate didn’t win the lottery. Your bank didn’t lose your password.

Source URL: www.sans.edu

PERSONAL TRADING POLICY February 2014 TABLE OF CONTENTS Page

Source URL: www.brookfieldpropertypartners.com

• Economics
• Financial system
• Insider trading
• United States securities law
• Securities regulation in the United States
• Securities market
• Security
• Securities fraud
• Regulation S-K
• Stock market
• Corruption
• Business

INSIDER TRADING HOW JURISDICTIONS REGULATE IT REPORT OF THE EMERGING MARKETS COMMITTEE OF THE INTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONS

Source URL: www.iosco.org

• Financial system
• Corruption
• Insider trading
• Auditing
• Materiality
• Security
• Insider
• Securities market
• Securities Commission of New Zealand
• Stock market
• Economics
• Financial economics

PwC power & utilities roundtable discussion paper Treading a new trading path The impact of regulatory change on

Source URL: www.pwc.ch

• Financial markets
• Stock market
• PricewaterhouseCoopers
• IntercontinentalExchange
• Markets in Financial Instruments Directive
• Insider trading
• Futures contract
• Commodity market
• Trading room
• Business
• Financial economics
• Finance

Use of Non-Public Information and Other Securities Law Issues Affecting Security Futures Products

Source URL: www.nfa.futures.org

• Finance
• Stock market
• Corruption
• Insider trading
• Securities Exchange Act
• Securities regulation in the United States
• SEC Rule 10b-5
• Futures contract
• Commodity Futures Trading Commission
• United States securities law
• Financial system
• Financial economics