INTERMEDIATE // TRADING DESK
MODULE 05 // COMPLIANCE

Insider Trading Indicators.

Identify behavioral patterns that may indicate trading on material non-public information.

INFORMATION ASYMMETRY SIGNALS

Insider trading involves trading on material non-public information (MNPI). While ABIS cannot prove insider trading, it can identify behavioral patterns that warrant investigation: unusual activity before announcements, abnormal profitability, or trading patterns inconsistent with public information.

Key indicators: position building before corporate announcements, options activity inconsistent with underlying behavior, abnormal timing correlation with insiders, and communication patterns suggesting information sharing.

ABIS enables surveillance teams to prioritize investigations by ranking suspicious patterns. Not all unusual trading is illegal—many patterns have innocent explanations. The goal is efficient allocation of investigation resources.

LOW

Normal Pattern

Trading consistent with public information and historical behavior. No investigation needed.

MEDIUM

Anomalous Pattern

Unusual activity detected. Could be legitimate (research edge) or suspicious. Flag for review.

HIGH

Suspicious Pattern

Multiple indicators suggest potential MNPI. Prioritize for immediate investigation.

KNOWLEDGE CHECK // Q05
Why can't ABIS definitively detect insider trading?