Insider Trading & Conflicts Management
Insider Trading & Conflicts Management
Industry experts take you through the latest developments in insider trading and managing conflicts of interest. This highly practical and engaging program uses a series of practical examples to tackle this issue from a legal, commercial and regulatory perspective.
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Program Summary
| TITLE: |
Insider Trading & Conflicts Management |
| CE: |
3.75hrs Regulation & Compliance |
| FEE: |
Member - $572 including GST Non Member - $693 including GST |
| Sydney Aug 15, 2012 |
|
9:00am - 1:00pm |
About the Speakers
Will McCosker, Senior Associate, King & Wood Mallesons
Will is a senior associate in the Funds team of King & Wood Mallesons. Will specialises in advising on the Australian financial service licensing regime and other regulatory issues faced by financial services providers, particularly in relation to investment funds and structured investment products.
He has been involved in the development of many listed and unlisted funds and structured products and offshore investment structures including hedge funds and private equity funds.
Alexander Morris, Partner, King & Wood Mallesons
Alexander Morris is a partner in the King & Wood Mallesons Sydney office where he specialises in corporate regulatory inquiries, litigation and commercial disputes.
Alex's practice has a particular emphasis upon matters involving the Corporations Act (principally financial services and securities regulation). He acts for listed companies and financial intermediaries in connection with ASIC and ASX investigations and administrative hearings, shareholder class actions, Takeovers Panel applications, schemes of arrangement, compulsory acquisitions and significant commercial disputes. He also advises domestic and offshore financial intermediaries on compliance with Australia's financial services and securities regulation regimes.
About this program
An expert practitioner will lead you in a class discussion on insider trading and managing conflicts of interest. This will include what the law requires, how to meet these requirements, lessons from past court decisions and how these issues impact businesses. You’ll delve into a collection of realistic scenarios that market participants could face and analyse the best approach and response to each. Consideration will also be given to the guidance available from the Regulator, ASIC, and the practical challenges that your organisation will encounter when developing its responses.
This course is primarily designed for front or back office practitioners in financial markets who are typically exposed to the following issues: Sales, Trading, Risk management, Settlements, Investigations. Compliance professionals can also elect to attend the program with their full team, as the content can be tailored to suit a particular firm.
What will you learn?
In this four-hour workshop, you’ll gain insight into:
- Elements of insider trading - what is prohibited?;
- Recognising when you are an insider;
- Effective information barriers - ASIC market integrity rule 3.6.3;
- Examples of conflicts of interest - and how to manage them;
- Grey areas - recognising when there is conflict; and
- What should be in your conflicts policy?
Testimonials
Very good concise workshop. Good content and well informed presenters.
This program definitely enhanced my knowledge in a very topical area.
The practical and technical subtleties of the subject matter was taught in a very professional manner.
Excellent presenters, and up to date case studies.