Virtual Event

Australian Shadow Trading Unveiled

Tuesday, February 25, 2025

9:00 AM AEDT

In the complex world of regulatory compliance in Australia, understanding the perspectives of both regulators and enforcement bodies is crucial for any organisation. This webinar provides a unique opportunity to gain firsthand insights into the topic of Shadow Trading. Attendees will benefit from the expertise and strategic advice of an experienced regulator and a skilled prosecutor, who will share their knowledge, insights, and practical guidance on how to protect your firm from this growing risk. 

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
Jon Kroeper

Former Executive Vice President, Surveillance and Investigations

FINRA

Howard A. Fischer
Howard A. Fischer

Partner

Moses Singer

Lang Leonard
Lang Leonard

Chief Financial & Operating Officer

StarCompliance

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