Save Your Spot

By registering for this webcast, you are agreeing to our processing of your personal data under our Privacy Policy.

Agenda

2:00pm - 2:05pm ET: Introductions

2:06pm - 2:50pm ET: Presentation

2:51pm - 3:00pm ET: Q&A

Webcast

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

The U.S. Securities and Exchange Commission's (SEC) Division of Examinations recently issued a risk alert highlighting common deficiencies in material non-public information (MNPI) observed during examinations.

July 14, 2022 11am PT | 2pm ET Your Desk!

Join us July 14th when we will have a live discussion about 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

Speakers

Carlo di Florio

Carlo di Florio

Global Advisory Leader, ACA Group
Dan Campbell

Dan Campbell

Director, ACA Group
Jason Howard

Jason Howard

General Counsel and CCO, Tegus
Jim Lundy

Jim Lundy

Partner, Foley & Lardner LLP

 

CLE credit will be applied for in all applicable states. Foley & Lardner LLP certifies that this activity has been approved for California MCLE Credits by the State Bar of California. Foley & Lardner LLP is a State Bar of California MCLE approved provider. For the purposes of New York CLE credit, this program is appropriate for newly admitted and experienced attorneys.

© 2017- 2023 ACA Group. All rights reserved.
ACA Home | Infosec | Privacy | Terms of Use | Modern Slavery

Download The free eBook