Without a thorough and effective insider trading compliance training & enforcement program – Is your organization at risk of SEC penalty?
Randall Lee, Wilmer & Hale LLP and member of the SAI Global Law & Ethics Advisors, along with Jeff Kaplan, Kaplan & Walker LLP, discuss the key aspects of domestic and international insider trading enforcement environments, and explore the motivating drivers behind and benefits of a vigorous and efficient compliance program.
Besides implementing appropriate compliance controls and procedures it is imperative to provide wide-spread education, training and communications to minimize your organization’s exposure to risk. This informative podcast will:
- Discuss the SEC’s renewed emphasis on insider trading enforcement
- Describe some of the differences in domestic and international insider trading laws and the risks they present
- Explain the insider risks that aa third-party can introduce to your organization
- Present the importance of organizations protecting themselves with effective insider trading compliance programs
- Detail the keys and benefits to a successful compliance program
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