As the government severely cracks down on fraudulent activities on Wall Street, insider trading is among the most scrutinized and quite possibly most confusing acts of misconduct. In light of recent events, it’s more crucial than ever before to be aware of the latest rules and regulations. In this timely web event, we’ll take a deep and comprehensive look at insider trading so that you can ensure your fund is in compliance in these complicated times.

You will learn:
How the government detects insider trading

• SRO surveillance: Stock Watch, blue Sheets, and chronologies
• Informants and the bounty program
• Monitoring form 4s

• Who conducts the investigation? SROs, the SEC, the US attorneys
• Problems in parallel investigations
• Cases involving obstruction: Martha Stewart and beyond

• Defining material and nonpublic information
• Traditional insiders
• Misappropriation
• Tippee liability
• Rules 10b5-1 and 10b5-2
• Rule 14e-3

• Mark Cuban case
• Galleon case
• Magnan case
• Credit default swap case
• Bear Stearns hedge fund managers case

• The MOU process
• Foreign laws governing insider trading

• The Duty to adopt policies: Advisers Act, 204A; Exchange Act, 15(f)
• Chinese walls, restricted lists, watch lists
• The efficacy of big boy letters

In just two hours and from the comfort of your own office, you’ll earn 2.5 CLE/CPE credits and gain a rock-solid understanding of one of the biggest hot-button issues on the SEC’s radar. It’s imperative to make sure your facts are straight during this major crackdown on insider trading! Don’t miss this highly informative webinar.