Protect Your Firm Against Insider Trading and Other Misconduct Related to COVID-19

Date: 
April 15, 2020 - 11:00 am to 12:00 pm
Type: 
Webcast
Division: 
ACA Technology
Speaker(s): 
Carlo di Florio, Chief Global Services Officer, Michael Lehman, Partner, Jay Petraitis, Senior Consultant, Brett Ambrose, Senior Client Implementation Specialist, Paul Mucho, Consultant

In the current environment created by the COVID-19 pandemic, where employees are working from home and trading volumes are increased due to market volatility, firms need to remain vigilant and proactive in their approach to trade monitoring and surveillance in order to protect their firm from increased risk.

Join us for a complimentary webcast on Wednesday, April 15, 2020 at 11:00 AM ET for a live discussion about the employee risks related to the current environment and best practices for managing your firm’s monitoring and surveillance of personal and firm-wide trading, e-communications, and code of ethics.

Discussion Topics

This webcast will cover:

  • What regulators expect and are doing to detect potential insider trading, market abuse, and other misconduct
  • Employee risks to be aware of
  • Best practices for managing your firm’s trade surveillance, e-comms surveillance, and code of ethics

Speakers

  • Carlo di Florio, Chief Global Services Officer
  • Michael Lehman, Partner
  • Jay Petraitis, Senior Consultant
  • Brett Ambrose, Senior Client Implementation Specialist
  • Paul Mucho, Consultant