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

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.

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