Method: Instructor-led training
Time: 8:30 am to 5:00 pm
Fee: Call for details (212) 851-8414 or email at
This course addresses the detection and prevention of insider trading, and addresses both the compliance, ethical, and legal aspects of this important issue. Coursework focuses on actual cases of insider trading, as well as practical, effective deterrence and prevention methods. Participants study detection reports and discuss strategies and practices for using information barriers to prevent and deter insider trading.
- Recognize and define insider trading under its various legal definitions
- Identify the various types of insider trading: short-swing profits, traditional theory, tipping, temporary insiders, tender offer and misappropriation theory
- Link acts of insider trading to regulatory actions and and private party litigation and consequences
- Understand internal control structures and information barriers (the Chinese Wall) of broker-dealer firms
- Discuss the effects of insider trading to the industry. Examine its power to undermine trust in a free market system.
- Link the rationale underlying Regulation FD on selective disclosure to particular internal control procedures and processes
- Identify and discuss SEC Rule 10b5 and its components
- Respond effectively to regulatory requests for documents and information
- Discuss recent enforcement actions involving the SEC and FINRA
Who should attend:
- Compliance staff, branch office managers, attorneys, auditors, traders, and supervisory staff