Few, if any, compliance concerns are as troubling as insider trading. How material nonpublic information (“MNPI”) is handled – or mishandled – can determine a firm’s fate.

Where proven, insider trading has wiped out firms, destroyed careers, and cost multiples far beyond any potential illicit profit. When alleged or merely rumored, the same can be true. Yet, insider trading law is principally judge-made, defined largely by cases over decades versus clear rules. That lack of clarity can be particularly troubling when your firm’s survival is at risk, so you need to know how to safely steer around critical consequences when encountering or handling MNPI. You can, with care.

On July 30, please join AIMA and K&L Gates for a webinar on Insider Trading and MNPI, taking a back-to-basics look at a compliance area that is anything but basic. During this session, we will focus on what to look for (and what regulators will look for), how MNPI should be considered, handled, and trained on, how recordkeeping can offer a critical defense, and how the recent shadow trading litigation may influence the regulatory view going forward, regardless of the outcome. Simply put, we will consider what you can and should do to stay out of trouble.

We hope that you will join us for this important discussion. As always, attendee questions are welcome and encouraged.

Panelists:

Lance C. Dial, Partner, K&L Gates LLP 

Amy J. Greer, Partner, K&L Gates LLP

Suzan Rose, Senior Adviser, Government and Regulatory Affairs, AIMA

Sponsored by: