Expert Network Best Practices, Part II: Interpreting the SEC’s Risk Alert on MNPI
14 July 2022
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.
People
Related Insights
June 18, 2025
Energy Current
Texas Energizes Nuclear Energy Strategy with Passage of Three Key Bills
The Texas Legislature recently passed three key bills: House Bill 14 (H.B. 14); Senate Bill 1061 (S.B. 1061); and Senate Bill 1535 (S.B….
June 18, 2025
Energy Current
FERC Issues Guidance on Treatment of Criminal Regulatory Offenses
On June 16, 2025, the Federal Energy Regulatory Commission (FERC) issued a Notice of Guidance regarding the consistency of its existing…
June 18, 2025
Foley Viewpoints
Legal Reasoning Still a Struggle for LLMs
The authors in this paper created a benchmark including long-form, open-ended questions and multiple-choice questions to evaluate the…