In-Person Investment Adviser Core Compliance Program Symposium

Partner Jim Lundy will join the In-Person Investment Adviser Core Compliance Program’s panel, Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts. This panel, taking place from 8:15 a.m. – 10:15 a.m. CT on Wednesday, July 12, 2023, will focus on developments regarding the law of insider trading, recent insider trading cases involving securities professionals, and elements of an effective insider trading policy. It will also cover SEC requirements for advisory contracts, including an opportunity to explore industry standards in this area.

The presenters will discuss how their audience can:

• Identify the elements of an effective insider trading policy to help detect and prevent the misuse of material nonpublic information
• Employ processes under a firm’s code of ethics to effectively prevent and detect insider trading and monitor personal securities trading by advisory personnel
• Increase awareness of industry standards for client agreements
• Use practice points to help improve a firm’s advisory agreement

To register for this informative panel, or to register for any of the other days of the program, click here.