Webinars
Cloud Computing; Is It For You?
This comprehensive webinar explains the impact of Cloud Computing as it relates to your Compliance technology infrastructure. We will also cover industry best practices concerning vendor due diligence as well as books & records requirements.
Panelists
- Stephen Pope, Founding Member | Red Oak Compliance Solutions
- Tracey Straub, Vice President of Strategy | Compliance11
Material Non-Public Information: Best Practices Regarding Expert Networks and the Leveraged Loan Market
This comprehensive webinar takes a deeper look at how to minimize the potential risks associated with employees trading on material nonpublic information and the vital role clear compliance procedures and systems have on informational gathering.
We will discuss the best practices associated with the identification, use and tracking of expert network communications. In addition, we will discuss practical approaches to the challenges and risks of dealing with MNPI in firms that trade leveraged loans and public debt securities – and how Dodd Frank has blurred the traditional lines between loans and securities.
Moderator
- Tracey Straub, Vice President of Strategy | Compliance11
Panelists
- Laurence Herman, General Counsel and Managing Director | Gerson Lehrman Group (GLG)
- Tim Houghton, Founding Principal | Cortland Capital Market Services
Understanding and Dealing with the Dodd-Frank
Whistleblower Provisions
This comprehensive webinar discusses how to understand and deal with the new Dodd-Frank whistleblower provisions. This webinar will address the SEC's recently adopted rules regarding the controversial whistleblower bounty program and what firms need to consider now and in the future.
Panelists
- Brad Bondi, Partner | Cadwalader, Wickersham and Taft LLP
- Tom Kuczajda, Special Counsel | Cadwalader, Wickersham and Taft LLP
- Steven Lofchie, Partner | Cadwalader, Wickersham and Taft LLP
- Tracey Straub, Vice President of Strategy | Compliance11
Insider Trading Landscape, Post-Galleon
This comprehensive webinar discusses the implications of the recent conviction of Raj Rajaratnam and the potential new era of intensified scrutiny regarding Insider Trading investigations. Additional topics discussed include:
- Expert Networks
- Dodd-Frank and the Registration Requirements
- Personal Trading Platform
- Insider Trading Surveillance
Panelists
- Steve Feldman, Partner | Herrick, Feinstein LLPc
- Irwin Latner, Partner | Herrick, Feinstein LLP
- Tracey Straub, Vice President of Strategy | Compliance11
Next Generation Business Continuity/Disaster Recovery
Business Continuity / Disaster Recovery (BC/DR), message storage, retrieval and surveillance solutions need to be in place in order for firms to be compliant with a number of regulatory guidelines. This comprehensive webinar discusses the next generation BC/DR business requirements and best practices.
Panelists
- Dan Dwyer, Managing Partner | Trading Continuity Services
- Jim McDonough, Managing Partner | Trading Continuity Services
- Tracey Straub, Vice President of Strategy | Compliance11
Personal Trading Best Practices
This comprehensive webinar discusses industry best practices regarding Personal Trading policies, as well as tactical solutions to enhance your Personal Trading program.
Protecting Against Insider Trading
This comprehensive webinar discusses recent developments regarding Insider Trading as well as tactical solutions to enhance your Personal Trading program.
Panelists
- Steven Lofchie, Partner | Cadwalader, Wickersham & Taft LLP
- Glen Barrentine, Special Counsel | Cadwalader, Wickersham & Taft LLP
- Brad Bondi, Partner | Cadwalader, Wickersham & Taft LLP
- Jonathon Hoff, Partner | Cadwalader, Wickersham & Taft LLP
- Tracey Straub, Vice President of Strategy | Compliance11, Inc.
Successful Year-End Compliance Tactics
This comprehensive webinar discusses Political Contributions as it relates to Pay-to-Play and MSRB Rule G37; Disclosure, Aggregation and Reporting of Gifts and Entertainment; and Employee Affirmations for Outside Business Activities, Personal Accounts, Policy Acknowledgements and U4 Updates.
Panelists
- Paul M. Tyrrell, Of Counsel, Bingham McCutchen
- Harriet Britt, Chief Compliance Officer, ThinkEquity
- Tracey Straub, Vice President of Strategy, Compliance11, Inc.
Revolutionizing Personal Trading Supervision
Compliance11, Inc. and ByAllAcccounts have revolutionized personal trading compliance. By adding best-in-class account aggregation through ByAllAccounts, Compliance11 customers can now automatically obtain feeds from thousands of brokerages for use in personal trading supervision.
Learn how you can begin monitoring personal trading electronically immediately. This webinar explains the revolutionary personal trading platform that Compliance11 and ByAllAccounts have created to receive nearly 100% of the brokerage data electronically, providing a cost effective way to automate personal trading supervision.
Protect Your Firm and Stay Out of the Crosshairs!
This summer’s red-hot topic of Regulatory Reform has created a whirlwind of speculation and activity. While the impact of this reform has not yet been fully realized, many organizations are presently engaged in assessing their internal controls and infrastructure, ensuring that their Compliance Program meets the requirements and is keeping pace with industry best practices.
We invite you to join us as Mark Egert, of Crowell & Moring and the former Chief Compliance Officer of Cowen & Company, reviews the various components of a successful Compliance Program as it pertains to Policies and Procedures, Code of Ethics, Insider Trading, Personal Trading, and other potential Conflicts of Interest.
In addition, Steven Feldman, of Herrick, Feinstein LLP and former Assistant U.S. Attorney for the Southern District of New York, will further discuss the consequences of an ineffective Compliance Program and how to avoid potential violations of securities laws, business crimes, and fraudulent practices.