7b. ALL – “Insider Trading” Hot Topics (Intermediate)

Tuesday
Written By Meghan Flanagan

Attendees will learn from industry experts about developments relating to insider trading and the illegal use of material non-public information.  This session is open to regulators but closed to members of the press.

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Sam Draddy
Sam Draddy

Senior Vice President, Market Abuse, Surveillance and Market Intelligence, Market Regulation

FINRA

Matthew Fitzgerald
Matthew Fitzgerald

Vice President, Compliance

PGIM Fixed Income

Jonathan Forman
Jonathan Forman

Partner

Baker & Hostetler LLP

Sponsored by:

Meghan Flanagan
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7a. ALL – Responding to Regulatory Investigations and Inquiries (Advanced)
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7c. BD/IA – Proactive Supervision:  Handling Disciplinary Issues and Related Problems (Intermediate)