A Regulator & A Prosecutor Walk Into A Bar: Shadow Trading Unveiled

In the complex world of regulatory compliance, understanding the perspectives of both regulators and prosecutors is critical for any organization, and this webinar offers a unique opportunity to gain firsthand insights on the topic of Shadow Trading. Attendees will benefit from the wisdom and strategic counsel of a seasoned regulator and a proficient prosecutor as they share their knowledge, experiences, and strategic advice on how to protect your firm from this emerging threat.

Topics will include:

An Overview of Shadow Trading and Its Potential Impact on Market Fairness
Understanding and Analyzing Economically Linked Corporate Networks
A Detailed Examination of Two Recent SEC Shadow Trading Cases and Their Respective Outcomes
Shadow Trading Policies: Should You Implement One, or Is Your Insider Trading Policy Sufficient?
Strategic Risk Mitigation Insights for Strengthening Your Compliance Program

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Expert Speakers

Jon Kroeper

Former Executive Vice President, Surveillance and Investigations

FINRA

Jon Kroeper is Former Executive Vice President at FINRA, where he was responsible for equity and fixed income surveillance and investigations for FINRA and…

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Howard A. Fischer

Partner

Moses Singer

Howard Fischer has extensive experience in trying complex financial disputes. As a former Senior Trial Counsel at the U.S.

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Lang Leonard

Chief Financial & Operating Officer

StarCompliance

As CFO of StarCompliance, Lang Leonard manages all financial and legal aspects of the company, while providing strategic long-term planning and direction to ensure…

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