Regulatory Spotlight: The Heightened Focus on Insider Trading and Market Abuse Due to COVID-19

Date: 
July 28, 2020 - 11:00 am to 12:00 pm
Type: 
Webcast
Division: 
Investment Adviser

The SEC, FCA, SFC, and FINRA have called out their continuing focus on detecting and punishing insider trading, market abuse, and other misconduct due to increased risks during the COVID-19 crisis. This webcast will feature the insights and expertise of former regulators Carlo di Florio, Partner and Chief Services Officer at ACA Compliance Group, and former Director of the SEC’s OCIE, and Daniel Hawke, Partner at Arnold & Porter and former Director of the SEC’s Market Abuse Unit.

Join us on Tuesday, July 28, 2020 at 11:00 AM EDT / 4:00 PM BST when we will discuss the current regulatory climate and what firms need to know to protect their business.

Discussion Topics

This webcast will cover:

  • New and emerging risks firms should be aware of
  • What regulators expect firms to be doing to detect market abuse in this environment
  • Practical steps firms can take to strengthen their surveillance programs

Speakers

  • Carlo di Florio, Partner and Chief Services Officer, ACA Compliance Group 
  • Michael Lehman, Partner, ACA Compliance Group
  • Flavia Lamb, Director, ACA Compliance Europe
  • Daniel Hawke, Partner, Arnold & Porter