Insider Trading: Updates and Strategies for 2014 and Beyond
Overview:This course offers an in-depth discussion of the latest enforcement efforts, legal developments in insider trading and an overview of how an economist can help when there are allegations of insider trading. A panel of thought leaders and practitioners will help firms better understand current trends in insider trading laws and how an economist contributes to determinations of materiality and whether insider trading has occurred, and in measuring loss avoidance.
In this two-hour live webinar, our speakers will discuss the important issues in the mix, including:
- Overview of Insider Trading Laws
- Recent Enforcement and Prosecution Efforts from the SEC and DOJ
- Discussions on High Profile Insider Trading Cases, including the Role of Economic Analyses and Key Takeaways
- Analysis of Alleged Insider Trading in the Context of What Was Known When and in the Context of the Alleged Insider’s Other Trading
- Effective Strategies to Mitigate Risk of Insider Trading Liability
Agenda: Financial Fraud and White Collar Crimes: A 2014 Perspective LIVE Webcast (May 7, 2014 @ 10:00 am – 12:00 pm ET)
Jonathan D. Schmidt, Counsel
Ropes & Gray LLP
1 415 315 2341
- Summary of white collar crimes in 2014…four or five slides outlining different areas.
- Foreign corrupt practices, insider trading, general fraud, et al.
Dr. Vinita Juneja , Senior Vice President and Co-Chair of NERA’s White Collar Criminal Litigation, Investigations, and Compliance Practice
NERA Economic Consulting
1 212 345 3148
Title: How Can an Economist Help When there are Allegations of Insider Trading?
- Wide variety of contexts for economic analyses in white collar crime: e.g. Price fixing, Market Timing, Insider Trading, Mispricing of Securities, Bribery, Material Misstatements
- Focus today on insider trading (with examples from our work in various cases including recent high profile SEC matters)
- Is It Insider Trading?
- Who Knew What When?
- Was What the Insider Knew Material?
- How Do the Relevant Trades Fit Into the Investor’s Pattern of Trades?
- What Else Do We Know About the Investor’s Trading?
- If There Is Insider Trading,
- What Is the Loss Avoided or the Monetary Gain by the Investor?
Who Should Attend:- White Collar & Corporate Attorneys
- General Counsel
- International Counsel
- Trade Counsel
- Compliance Officers
- Ethics Officers
- Forensic Auditors
- Vice Presidents and Directors
- International Contract Managers
- Risk Officers
- And other Related/Interested Professionals
Jonathan is a San Francisco-based member of Ropes & Gray’s government enforcement practice group. Jonathan focuses on white collar criminal matters, internal corporate investigations, and complex civil litigation.
Prior to joining the firm, Jonathan worked as an Assistant United States Attorney for the Northern District of California, where he tried dozens of white collar and violent crime cases and argued multiple appeals. As an Assistant United States Attorney, Jonathan served as a supervisor in both the Major Crimes section, and the Counter-Terrorism section. He also served as the Pacific Regional Coordinator for DOJ’s Organized Crime Drug Enforcement Task Force. In 2003, Jonathan was appointed to be one of five international prosecutors in Bosnia and Herzegovina’s new State Court. There, he investigated and tried the Court’s first war crimes case. Jonathan received DOJ’s Director’s Award for Superior Performance for his work in Bosnia and Herzegovina.
Jonathan is a San Francisco-based member of Ropes & Gray’s government enforcement practice group. Jonathan focuses on white collar criminal …
Vinita M. Juneja is a Senior Vice President at NERA Economic Consulting. She is Co-Chair of NERA’s Global White Collar Practice. She received her B.A. from the University of Western Ontario and her M.A. and Ph.D. from Harvard University, all in economics.
Dr. Juneja directs projects concerning securities economics, finance and valuation. She has been retained on hundreds of such matters involving securities fraud, valuation of restricted or illiquid stock, insider trading, manipulation, suitability, derivative actions, stock repurchases, ERISA claims, market timing, fund advisor fee structures, and valuation of businesses and financial assets in merger related disputes and lost profits claims.
She has testified and submitted affidavit and expert report testimony in US, Canadian and Israeli courts, and in arbitrations in the US, Canada, and the UK. She has been an arbitrator for the NASD and FINRA.
Vinita M. Juneja is a Senior Vice President at NERA Economic Consulting. She is Co-Chair of NERA’s Global White Collar …
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Method of Presentation:
NASBA Field of Study:
Specialized Knowledge and Applications
NY Category of CLE Credit:
Areas of Professional Practice
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About Ropes & Gray LLP
Ropes & Gray, a global law firm with more than 1,100 lawyers and professionals, has a rich history of achieving success for the world’s leading businesses, educational institutions and technology innovators from offices in the world’s major centers of business, finance, technology and government – Hong Kong, Shanghai, Tokyo, Seoul, London, New York, Washington, D.C., Boston, Chicago, San Francisco and Silicon Valley. The firm has consistently globally ranked practices in private equity, M&A, finance, investment management, hedge funds, life sciences, health care, intellectual property, litigation, securities litigation and government enforcement.
About NERA Economic Consulting
NERA Economic Consulting (www.nera.com) is a global firm of experts dedicated to applying economic, finance, and quantitative principles to complex business and legal challenges. For over half a century, NERA's economists have been creating strategies, studies, reports, expert testimony, and policy recommendations for government authorities and the world’s leading law firms and corporations. We bring academic rigor, objectivity, and real world industry experience to bear on issues arising from competition, regulation, public policy, strategy, finance, and litigation.
NERA’s clients value our ability to apply and communicate state-of-the-art approaches clearly and convincingly, our commitment to deliver unbiased findings, and our reputation for quality and independence. Our clients rely on the integrity and skills of our unparalleled team of economists and other experts backed by the resources and reliability of one of the world’s largest economic consultancies. With its main office in New York City, NERA serves clients from more than 25 offices across North America, Europe, and Asia Pacific.