Expert Network Best Practices, Part II: Interpreting the SEC’s Risk Alert on MNPI
The U.S. Securities and Exchange Commission's (SEC) Division of Examinations recently issued a risk alert highlighting common deficiencies in material non-public information (MNPI) observed during examinations.
Join us July 14th when we will have a live discussion about why these deficiencies are so common and how your firm can avoid making the same mistakes.
Key learning objectives:
- Rules about the use of Expert Networks and other research
- Use of alternative data outlined in the risk alert
- Application of the SEC's "shadow trading" theory
- How your advisors and vendors can help you comply