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:
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.