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On-Demand Webinar

Insider Trading and Safeguarding Material Non-Public Information

One of the biggest risks faced by financial services firms and professionals is regulatory enforcement actions related to the mishandling or misappropriating of material non-public information, also commonly known as insider trading. The slightest mistake in this crucial area of compliance can be a career-ending mistake for individuals and can deal a lethal reputational blow to firms.

Listen to Todd Ehret from Thomson Reuters Regulatory Intelligence, for a discussion of crucial aspects of insider trading prevention and the safeguarding of material non-public information. In this webinar we cover:

  • Global regulatory emphasis on insider trading material of non-public information
  • What constitutes material non-public information
  • Types of MNPI and insider trading
  • Enhanced detection capabilities by regulators
  • Several examples of actual cases with important takeawaysBest practices and compliance suggestions
  • Todd also answers a few questions at the end of the session


 

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this webinar starts in

11/06/2019 06:00 AM EDT

Featured Presenter

Todd Ehret
Senior Regulatory Intelligence Expert, Thomson Reuters Regulatory Intelligence

Todd Ehret is a Senior Regulatory Intelligence Expert for Thomson Reuters Regulatory Intelligence. At Thomson Reuters he has authored countless articles and white-papers, and presented at industry conferences, events, and seminars on a myriad of financial regulatory topics.

Todd has an enormous breadth of experience gained from more than 25 years on both the buy-side and sell-side at large and small financial services firms dealing with both institutional and retail clients. He has held key positions in trading, operations, accounting, audit, and compliance for broker-dealers, asset managers, and hedge funds and has successfully managed several global regulatory inquiries and exams in his career.

Before joining Thomson Reuters he served as a Chief Compliance Officer and Chief Operating Officer at a Registered Investment Adviser/Hedge Fund for nearly a decade. He has passed numerous FINRA exams throughout his career and has a B.S. in Political Science from the University of South Dakota.