Insider Trading Attestation and Request
It is the policy of TWP that employees are NOT to trade stocks of companies where the firm has a client relationship with a high level manager or executive who may potentially provide us with inside information. A list of applicable stocks can be requested from the Chief Compliance Officer (CCO) at any point, but will be provided to you anytime this information is requested. Any purchase of listed stocks must have prior written approval from the firm CCO before purchase or sale can occur. In order to comply with SEC insider trading rules, TWP must know of any and all investment accounts that you, your spouse or children, maintain. Please complete the following fields for the previous quarter.
