Investment Advisor Employee Disclosure Enforcement

[Dan Buck]

What is the name of your state? MA

I got a job offer from a mutual fund company. One condition of the employment is that I have to send all my stock trading confirmations and statements to the company. They told me it's required by the company's employee personal investment policy and it's required by SEC rule 204A-1.

If I take the job and don't disclose my broker account, can they somehow find out? I read my broker's privacy policy. It has mentioned they will disclose information to SEC. Is there a procedure that the mutual fund company checks employee's persoanl brokerage accounts with brokers automatically?

 

[JETX]

If I take the job and don't disclose my broker account, can they somehow find out?

I doubt that any RESPONSIBLE member of this forum is going to support your breaking the law.

 

[thepizzaguy]

I doubt that any RESPONIBLE member of this forum is going to support your breaking the law.

I doubt there are any RESPONIBLE members either, nor any responsible ones.