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Insider Trading Compliance for Registered Funds

On April 7, ICI hosted a webinar on the prevention of insider trading is a core compliance area for all mutual funds and other registered investment companies. The webinar featured speakers from the SEC’s Enforcement Division and Office of Compliance Inspections and Examinations (OCIE) and noted outside counsel.

MATERIALS

HIGHLIGHTS

  • The SEC’s ongoing efforts to address insider trading.
  • The lessons to be learned from recent SEC enforcement actions.
  • Practical tips for reviewing and updating your own compliance policies and procedures.

SPEAKERS 

  • Robert C. Grohowski (moderator), Senior Counsel, Investment Company Institute;
  • Robert B. Kaplan, Co-Chief of the Asset Management Unit, Enforcement Division, SEC;
  • James Capezzuto, Senior Attorney Advisor, New York Regional Office, SEC;
  • Gregory D. DiMeglio, Partner and Chair of the Securities Enforcement Practice Group, Stradley Ronon Stevens & Young, LLP; and
  • Bruce G. Leto, Partner and Chair of the Investment Management/Mutual Funds Practice Group, Stradley Ronon Stevens & Young, LLP.