3c. ALL LAB – MNPI: Preventing Illegal “Insider Trading” (Intermediate - CLOSED) 

Monday
Written By Meghan Flanagan

Attendees will learn from industry experts about regulatory requirements, historic and recent cases addressing novel issues related to Material Non-public Information (MNPI) and illegal “insider trading” and critical compliance, surveillance, and training practices. 

This session is closed to both regulators and members of the press.

Learning Objectives:

  • Analyze insider trading cases to identify activities that are not always obvious, including the SEC’s focus on shadow trading and misappropriation of MNPI.

  • Evaluate the application of federal anti-fraud provisions to block trading, research, investment banking, meetings with management, expert networks and alternative forms of data gathering such as web scraping and political intelligence.

  • Assess materiality in the context of market dynamics and trading volume.

  • Assess procedures to identify and control the misuse of MNPI, including data analytics, and client use of Rule 10b5-1 plans.

Featured
Darren McMillan
Darren McMillan

Chief Compliance Officer

BMO Financial Group

Patrick Hayes
Patrick Hayes

Chair, Investment Management

Calfee Halter & Griswold LLP

Margaret Dubil
Margaret Dubil

Director of PCG Surveillance

Stifel

Rob Saperstein
Rob Saperstein

Head of Compliance

Guggenheim Investments

Sponsored by:

Meghan Flanagan
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