Insider Trading Compliance: Trends and Legal Developments Impacting Policies and Procedures

Event Details

January 23, 2020

2-3 p.m. (EST)

This installment in our Strategic-Asset General Counsel webinar series, hosted by NACD and Katten, will focus on trends and legal developments impacting insider trading compliance policies and procedures. Potential discussion points are:

  • Current enforcement environment and trends
  • FINRA and SEC surveillance activities
  • Special blackout periods
  • Hedging, pledging, and gifts
  • Cybersecurity considerations
  • Employee training
  • Rule 105-1 plans

Additional Resources