InstructorTerri Hays
TypeOnline Course
PriceFree
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Tuition Options

myUniversity™

PracticeEdge Elite™

Standard Tuition $400

Senior Fellow Rory Cohen, JD, Partner, Mayer Brown

This course provides analysis from current law enforcement officials and former prosecutors regarding the Government’s investigation and prosecution of insider trading and other white collar offenses.

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LEARNING OBJECTIVES

FACULTY

CREDIT INFO

ACCREDITATION

Students shall learn the following within this Course:

  • Investigative Process – Governmental Tactics
  • Wiretapping and other surveillance tools
  • Cooperating witnesses and witness flipping, promises of leniency
  • Market surveillance techniques; data analysis
  • International cooperation
  • Interacting with regulators and criminal authorities
  • Managing inquiries and interviews
  • Deciphering between innocuous inquiries seeking to learn about the business from those predicated upon “suspicions of bad behavior”
  • Protecting the firm when allegations or assertions are made
  • Pitfalls to avoid
  • Best practices from a government’s perspective
  • Proactive behavior – response and prevention; disciplinary action versus termination
  • Implementing an effective culture of compliance
  • Pros and Cons of Self-Reporting
  • Enforcement Priorities
  • Expert networks
  • Challenges to fitting political intelligence and trading on such information within anti-fraud rules
  • Implementing effective front end compliance controls
  • Tools for monitoring outside relationships and back end surveillance controls
  • Short sales, benchmark rate and other forms of market manipulation
  • High Speed/Algorithmic Trading; Other Disruptive Trading Practices
  • Best practices for identifying, mitigating, managing and disclosing conflicts of interest
  • Prosecutorial discretion and case selection

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Senior Fellow:

Rory Cohen, JD, Partner, Mayer Brown

Guest Lecturers:
Stephen Obie, JD, Director of Enforcement, CFTC
Jonathan Streeter, JD, Assistant U.S. Attorney, SDNY, U.S. Department of Justice*
Andrew Fish, JD, Partner, LockeLord

 

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Accreditation Information

CLE Information

Credit Hours: 2
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

Credit Hours: 3.5
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information

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Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

Arizona: Does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. RCA programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.

New Hamphsire: The approval is for three years from recorded date.

New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.

New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.

North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.

Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.

Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.

Tennessee: The approval is for the calendar year in which the live program was presented.

Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

If applicable, the RCA will apply for credit in your state upon request.