Mai Shiver is chief compliance officer and director of business risk management at Wells Capital Management in San Francisco. She oversees the legal and regulatory functions that impact Wells Capital Management’s compliance responsibilities and business risk functions. Mai brings 16 years of experience as an attorney specializing in regulatory, securities, litigation matters and commercial matters with operational knowledge of securities trading and business enhancement strategies. Prior to joining Wells Capital Management, Mai served as a director of regulatory policy for the Pacific/Archipelago Exchange and represented it on regulatory policy matters and SRO rulemaking with the SEC. She has also served as counselor for Piper Rudnick in Chicago and law firms in San Francisco and Oakland.

Tammy Eisenberg is Chief Compliance Officer & General Counsel at DIAM U.S.A., Inc. in New York. Prior to joining DIAM USA in 2005, she served as North American Head of Securities Compliance for Cargill Investor Services, Inc. and various positions at ABN Amro Incorporated, Prudential Securities, US Trust and SG Cowen, as well as NASD, and her expertise encompasses information barriers, investment adviser regulation, broker-dealer regulation, hedge fund matters and issues relating to global enterprises.

Victoria Hogan, president, NorthPoint Compliance in Red Bank, N.J., worked for more than six years as a compliance examiner in the SEC’s New York Regional Office. She led cause and routine examinations of a broad range of investment advisers, including fixed income and equity advisers, alternative asset managers, hedge fund of funds, dually registered advisers, pension consultants, financial planners, and advisers to investment companies. Prior to establishing NorthPoint, Victoria spent two years as a compliance officer in the Legal and Compliance Department of Fortress Investment Group, a publicly traded, SEC-registered investment adviser, where she developed and enforced compliance policies and procedures.

Thomas Gorman chairs the Securities Litigation practice group and co-chairs the ABA White Collar Crime Securities Section in Porter Wrights’ Washington office. He has represented many clients charged with securities fraud, including insider trading. Gorman also served for seven years in positions of increasing responsibility on the SEC staff in Washington, including as senior counsel in the Division of Enforcement and special trial counsel in the Office of the General Counsel. In those positions, he was responsible for the litigation of securities enforcement actions, accounting and auditing cases.

• Chief Compliance Officers
• Compliance Managers
• General Counsel
• Senior Managers

This webinar was originally recorded December 15, 2009, 2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.

If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!

A week doesn’t go by lately without news of another big insider trading case. Don’t let the enforcement targets strike too close to home. Register for our December webinar and discover compliance best practices you can take to prevent, uncover and deal with suspected insider trading.

We’ve assembled a diverse panel to pass on guidance from all of the perspectives a CCO needs when confronted with this most perennial of compliance challenges. You’ll hear about vital lessons from current enforcement cases, what types of activities are more likely to attract regulatory attention, ways to test to detect transactions that warrant a closer look, and much more.

Purchase the CD of the December 15th webinar, Compliance Best Practices to Combat Insider Trading and discover:

• Ways compliance officers can test for signs of potential insider trading
• What recent cases inform RIAs about enforcement trends
• Training ideas to educate staff on proper use of social networking, rumors and what actions can potentially cross the compliance line
• Best practices, such as techniques to monitor news releases to sniff out trades that deserve closer scrutiny, performance logs and “spike analysis” and risk assessment protocols
• Suggestions for uncovering and documenting relationships your traders have with industry and family members that should raise questions
• Tools-you-can-use, including a sample procedure, examples of forensic tests and an annual staff questionnaire
• Examples of what is and isn’t considered insider trading that you can use to educate staff
• And much more.

YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Compliance Best Practices to Combat Insider Trading for $195 [TA1904CD].

3 Ways to Order

Order online | Call 1-888-234-7281 | Fax 301-287-1316

*Please allow 2-4 weeks for delivery