On June 9, litigation & enforcement partner Jeremiah Williams and associate Ani-Rae Lovell co-presented at the virtual NRS Investment Adviser Core Compliance Program Symposium. Their presentation covered two persistent compliance challenges: insider trading and advisory contracts.
The ongoing insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals are a reminder for investment advisers of the importance of having effective policies and procedures in place to detect and prevent the misuse of material nonpublic information. Jeremiah and Ani-Rae discussed the development of insider trading laws, recent insider trading cases involving securities professionals, and elements of an effective insider trading policy and code of ethics.
Stay Up To Date with Ropes & Gray
Ropes & Gray attorneys provide timely analysis on legal developments, court decisions and changes in legislation and regulations.
Stay in the loop with all things Ropes & Gray, and find out more about our people, culture, initiatives and everything that’s happening.
We regularly notify our clients and contacts of significant legal developments, news, webinars and teleconferences that affect their industries.