The Directors Roundtable Institute Invites You to Attend a Program
For Boards of Directors & Their AdvisorsINSIDER TRADING: 2010 UPDATE Tuesday, March 16, 2010
8:30 – 10:00 A.M. (8:00 A.M. Registration)
Harvard Club, 35 W. 44th Street, New York
There is no fee to attend and continental breakfast will be served.
one hour of CLE credit is pending. Insider trading is back in the news. Major hedge funds and corporate names are involved in what the federal authorities are calling the biggest insider trading investigations in a generation. Prosecutors are hinting that there is more to come. The SEC has brought its first insider trading case ever concerning credit default swaps. Aggressive investigative techniques have included court-authorized wiretaps and consensual recording of telephone conversations. Meanwhile, the SEC has announced new policies to foster cooperation in its investigations.
Our panelists, former federal prosecutors and SEC enforcement lawyers, will discuss these recent developments and what officers and directors of public companies and market participants can do to stay out of insider-trading trouble. The panel will also include an expert economist affiliated with Cornerstone Research, who will explain critical economic issues that recur in insider trading cases.
Topics will include:
• The latest developments involving the Raj Rajaratnam (Galleon) and related prosecutions
• Wiretaps and other investigative techniques
• Parallel criminal and SEC proceedings
• Potential impact of "honest services" cases pending in U.S. Supreme Court
• Potential private civil litigation arising from insider trading
• What companies can do to customize compliance
• The role of expert witnesses in insider trading cases (liability, causation, sentencing)
Who Should Attend:
In-house counsel, corporate directors and officers, regulatory and compliance officers, risk managers, internal audit staff, and ethics officers.
DISTINGUISHED SPEAKERS - Randall J. Fons, Partner, Morrison & Foerster
(former SEC Regional Director) - Carl H. Loewenson, Jr., Partner, Morrison & Foerster
(former Assistant U.S. Attorney) - Erik R. Sirri, Former Director, U.S. Securities & Exchange Commission,
Division of Trading and Markets; Professor of Finance, Babson College
Selected Biographies REGISTRATION
Please fill out the form below and click "Register". Questions about this event may be directed to Karen Todd at (727) 493-2067. If you cannot attend the event, you may obtain the program materials (if available) by completing the registration form and typing "program materials" where it asks for directorships.
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