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What to expect in the evolving landscape for insider trading liability in 2015

January 22, 2015 | Complimentary breakfast seminar
8:30 a.m. – 9:30 a.m. [Breakfast & Registration: 8:00 a.m. – 8:30 a.m.]

The recent decision in U.S. v Newman, a criminal insider trading case against two portfolio managers, has provided much-needed clarity as to the elements of "tipper" and "tippee" liability, including what constitutes the "personal benefit" a tipper must receive to be liable for tipping information and, more importantly, what level of knowledge someone must have when he or she receives information which may have been improperly tipped. The clarity offered by the Newman case is helpful, but the decision still leaves some questions unanswered.

This program, which will discuss these issues, is intended to assist investment advisers, broker-dealers, compliance officers and legal professionals navigate the continuously evolving legal landscape in this area.

Speaker
Ralph A. Siciliano
Partner, Tannenbaum Helpern Syracuse & Hirschtritt LLP

Venue:
Tannenbaum Helpern Syracuse & Hirschtritt LLP
900 Third Avenue at 54th Street, New York, NY 10022

Agenda:
8:00 a.m. – 8:30 a.m.: Continental Breakfast & Registration
8:30 a.m. – 9:30 a.m.: Program

RSVP:
Email Nancy Wu at wu@thsh.com with your first and last name, title, company name and email address or register online.

NY CLE:
1 NY CLE credit will be available

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