U.S. regulators are stepping up their examination of market abuse and manipulation, targeting financial institutions, hedge fund and private equity managers, corporate insiders, and attorneys. Insider trading examinations continue to be a high priority for the SEC, and in working with the DOJ and FINRA, regulators have increasingly focused on hedge funds and private equity funds.
Duration is 60 minutes
This webinar is aimed to help you better understand current trends and developments in insider trading enforcement and how it affects your organization.
Topics to include:
- What is insider trading?
- Insider trading: civil or criminal crime?
- Recent examinations and enforcement actions
- Economic theory and defense strategies
- Role of an expert
- Outlook for 2015
- Adam Warren is a managing director in Duff & Phelps' Dispute Consulting practice and has served as an expert witness in several insider trading cases.
Governance, Risk, Investigations and Disputes
Combined Duff & Phelps and Kroll disputes, investigations, cyber, business intelligence, cross-border restructuring and other advisory.Governance, Risk, Investigations and Disputes