Sponsor
07.16
July 16, 2014: 12:30PM - 2:00PM
Insider Trading Enforcement – Responding to SEC Examinations and Practical Guidance to Survive the New Regulatory Environment
Please join Jay Gould, partner in the law firm's Investment Funds & Investment Management practice, Bill Sullivan, leader of the law firm's Washington, DC office Litigation practice and co-leader of the firm’s Corporate Investigations and White Collar Defense team, along with Bill Mulligan, CEO, Cordium for a roundtable discussion on the rapidly changing landscape of securities enforcement and the focus on hedge fund managers.
Event Contact
Alisha Walls
Alisha Walls
The program will cover a number of important topics, including:
- The examination and enforcement priorities of the Securities and Exchange Commission and the Department of Justice
- The current focus on insider trading and misuse of material non-public information by hedge fund managers
- The investigatory techniques and methods used by securities enforcement personnel
- The steps hedge fund managers can take to structure, implement and enforce information barriers to mitigate the risk of insider trading
- How to prepare for and survive examinations or investigations by the SEC or the DOJ
To register for this event, please contact Alisha Walls by July 11, 2014.
Speakers
William M. Sullivan, Jr.
Partner
Other Speakers
Sponsors
Pillsbury
Cordium