Expert Network Best Practices, Part II: Interpreting the SEC’s Risk Alert on MNPI

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.