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
26 April 2024
Article
Increased Tariffs on Imports of Selected Products
As an additional measure to those taken last year, the Federal Government again modified the Law of General Import and Export Taxes (Ley de los Impuestos Generales de Importación y Exportación) in order to provide fair conditions to national industry and prevent bad practices in international trade, promoting the development of national industry and supporting the domestic market to balance the situation faced with the global market that has taken place as a consequence of the nearshoring phenomenon.
26 April 2024
Article
Non-Competes: What the FTC’s Rule May Mean for Health Care & Life Sciences Providers
On April 23, 2024, the U.S. Federal Trade Commission finalized a rule, by a vote of 3-2, abolishing the vast majority of employee covenants not to compete across the United States
03 May 2024
Events
Takeaways from the Trenches: the JetBlue/Spirit Merger Trial
Foley Partner Ben Dryden will moderate a panel for the ABA State Enforcement and the Mergers and Acquisitions Committees as they host a panel consisting of both enforcers and private practitioners, who will discuss the JetBlue/Spirit merger and what this decision may mean for the future of merger enforcement, including in the airline industry.