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.
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