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