10c. ALL – Emerging Issues in Insider Trading (OPEN)

Attendees will learn about recent insider trading-related court decisions, national and local enforcement priorities and trends, and best practices for corporate compliance and avoiding enforcement actions. The panel will include perspectives from an FBI agent investigating securities fraud, a compliance officer working in-house, and a former SEC prosecutor who now represents individuals and entities facing government investigations and actions. This session is open to regulators and members of the press.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Surveillance, identification and controls of trading activity
• Responding to problematic trading activity, including the emerging Cryptocurrency issues
• Navigating third party relationships with consultants and strategic business partners
• Analyzing recent case law developments and trends

Sponsored by:

Panel                        Program Level: Intermediate Date: October 23, 2019 Time: 11:00 am - 12:00 pm Jena Bjornson Vince Martinez Jonathan Walthers