Event

14th Annual IA Compliance Best Practices Summit 2012

March 15, 2012 {ml-event-to} March 16, 2012

Morgan Lewis partner Steve Stone will present on "What A CCO Can Do to Reduce The Risk Of Insider Trading" at the 14th Annual IA Compliance Best Practices Summit 2012. Donald J. Myers will also present on "What New Department of Labor Rules Mean for ERISA Fiduciaries."

Session description: What A CCO Can Do to Reduce The Risk Of Insider Trading
A day doesn't seem to go by without more alarming news of a firm caught up in an insider trading scandal. Be confident you won't have to face the glare of regulators with advice on what compliance officers can do to reduce the risk of insider trading. This session touches on staff education and attestation efforts, surveillance and testing techniques, P&Ps, lessons learned from the expert networking enforcement cases and more, including:
  • What recent enforcement cases say about how prosecutors are detecting insider trading
  • Tactics that can flag suspicious trading activity
  • The pros and cons of establishing an employee hotline
  • How to respond if allegations of insider trading by a staffer emerge

View the outline >

Session description: What New Department of Labor Rules Mean for ERISA Fiduciaries
The amount of new regulations coming out of the Department of Labor lately has rivaled that of the SEC. This session sorts out the new ERISA rules, including a new definition of a fiduciary that has rankled the industry because it would diverge from the Advisers Act's and ease the regulator's job. Know what it means to "render" investment advice and how it can slap someone with a fiduciary duty and:

 

  • See why new ERISA rules makes enforcement easier for the agency
  • Hear the pros and cons of Labor's fiduciary duty standard
  • Grasp the key exceptions that describe behavior considered outside of the fiduciary duty standard

 

When:
March 15–16, 2012

  • Mr. Stone will present on March 15 from 3–4 pm.
  • Mr. Myers will present on March 16 from 1:30–2:30 pm.

Where:
Renaissance Washington
DC Downtown Hotel
999 9th Street NW
Washington, DC 20001