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Insider Trading and Advisory Contracts: Requirements for Investment Advisers

Presented by National Regulatory Services
Webinar | October 27, 2015

Financial Services partner David Dickstein will participate in the webinar, "Insider Trading and Advisory Contracts: Requirements for Investment Advisers" on Tuesday, October 27 at 1:00 p.m. (ET). The webinar will address the following topics:

  • elements of an effective insider trading policy for helping to detect and prevent the misuse of material nonpublic information;
  • the requirements of SEC Rule 204A-1: Investment Adviser Codes of Ethics;
  • code of ethics processes for effectively preventing and detecting insider trading and monitoring personal securities trading by adviser personnel;
  • methods for increasing awareness of industry standards for client agreements; and
  • tips for using practice points to help improve firm advisory agreements.

For more information, click here.

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