Insider Trading Copilot

Overview

Evaluates an employee's responses to insider trading questions, recommends whether to allow the trade, and explains it's reasoning. For example, if an employee is aware of large deal that's yet to be made public, they may be recommended not to trade in company stock.

The three questions asked to employees are:

1. Are you aware of any significant new customer deals not publicly announced (either closed or likely to be closed), or customers that are cancelling <company/product>?
2. Are you aware of any unannounced merger or acquisition activity of the company?
3. Are you aware of any non-public facts about <company> that would lead someone to want to either buy or sell <company> stock if they knew it?

Data Source for AI Skill Training

• Based on the Prompt Builder AI Skill
• Default configuration processes requests for Appian stock trades, but can be easily updated for any publicly traded company
• Applies US Federal Law, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5
• Includes exceptions for trades covered by a 10b5-1 trading plan
• Returns both a recommendation and the reasoning behind the recommendation
• Does not incorporate any private or sensitive data