Lowenstein Fund Regulatory & Compliance Chair Scott H. Moss will participate in a MFA workshop discussing SEC enforcement trends, including the recent “shadow trading” decision. Participants also will discuss navigating the SEC enforcement process.
- Insider Trading: SEC v. Panuwat
- Disclosure and Marketing Developments
- Whistleblowing (SEC Rule 21F-17(a))
- Navigating the Enforcement Process
- Limitations on Liability and Indemnification
- Off-Channel Communications
Moderator:
- Matthew Daigler, VP & Senior Counsel,MFA
Speakers:
- Scott H. Moss, Partner; Chair, Fund Regulatory & Compliance; Co-chair, Investment Management Group, Lowenstein Sandler LLP
- Stephen L. Cohen, Partner, Sidley Austin LLP
- Amy D. Roy, Partner, Ropes & Gray LLP
Time: 12-1 p.m. ET
