Jonathan Forman, Matthew Friedman Lead Online Training on Insider Trading Compliance, Advisory Contracts

News / November 6, 2019

Counsel Jonathan Forman and Associate Matthew Friedman will be presenters for an online training session offered by National Regulatory Services on Nov. 7, 2019 to over 100 attendees, including general counsel, chief compliance officers, and principals of investment advisers. Their topic is “Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts” and the session will include a discussion on the development of the law of insider trading, recent insider trading cases involving securities professionals, and elements of an effective insider trading policy and code of ethics. The course will also cover the Advisers Act Section 205, which governs the SEC requirements for advisory contracts, including an opportunity to explore industry standards in this area.

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