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.
