Foley Partner Jim Lundy will join an ACA Group panel of subject-matter experts to examine the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations recent risk alert highlighting common deficiencies in material non-public information (MNPI) observed during examinations. The panelists will discuss why these deficiencies are so common and how your firm can avoid making the same mistakes.
Key learning objectives:
- Rules about the use of Expert Networks and other research
- Use of alternative data outlined in the risk alert
- Application of the SEC’s “shadow trading” theory
- How your advisors and vendors can help you comply
In addition to Jim Lundy, the speakers include:
- Carlo di Florio, Chief Services Officer, ACA Group
- Dan Campbell, Director, ACA Group
- Jason Howard, GC/CCO, Tegus
There is no charge to attend this webinar. To register, click here.