This critical and timely webinar will focus on the special insider trading–related issues raised by the COVID-19 pandemic that investment managers must address, and the effects of heightened scrutiny by regulators and prosecutors. In addition to identifying specific pandemic-related issues and analyzing hypothetical trading scenarios that managers may encounter, the panelists will outline risk mitigants designed to avoid governmental investigation and scrutiny that are especially adapted to the current situation. The panelists from Clifford Chance US LLP include David Yeres, Steven Gatti, Robert Rice and Benjamin Peacock, whose collective experience includes over 100 years of representing clients in government investigations and serving in senior positions in the Securities and Exchange Commission, Commodity Futures Trading Commission and the Department of Justice.

Speakers:

• David Yeres, Senior Counsel, Clifford Chance US LLP
• Steven Gatti, Partner, Clifford Chance US LLP
• Robert Rice, Partner, Clifford Chance US LLP
• Benjamin Peacock, Associate, Clifford Chance US LLP

CLE Credits:
Application for accreditation of this course or program in New York is currently pending.
 

• AIMA Heightened Insider Trading - CLE - Attorney Affirmation Form 05.06.20.docx
• Heightened Insider Trading CLE - Evaluation Form.pdf

Materials:
 

• AIMA Presentation - Heightened Insider Trading Scrutiny and Risk Mitigants in the Current Pandemic Conditions.pdf

• THE GUIDE - UNITED STATES AND UNITED KINGDOM DERIVATIVE AND COMMODITY MARKET ENFORCEMENT REGIMES - APRIL 2019 (2).pdf
• Bogucki alerter.pdf
• Extraterritoriality alerter.pdf
• Salman alerter.pdf
• the-us-and-eu-an-ocean-apart-on-insider-dealing-regulation.pdf

Sponsored by: