Insider Trading 2012: Trends & Developments in the Investigation, Prosecution & Defense of Insider Trading Cases
Monday, Oct 15 2012

Insider trading continues to be one of the highest enforcement priorities for both the SEC and DOJ. Both agencies have devoted unprecedented resources to investigating insider trading violations, employed wiretaps and other aggressive investigative techniques, and ventured into new substantive territories. The result has been an unprecedented number of criminal and civil investigations and prosecutions, which have led judges, prosecutors, lawyers and other securities industry professionals to focus on the sometimes murky boundary between legitimate research and illegality. At this program, a panel of experts from government, industry, and law firms who focus on insider trading issues on a daily basis, will discuss the substantive law of insider trading, with a particular focus on the new frontiers being explored in recent cases. The course will cover the following topics, among others: The core principles and elements of insider trading violations, including under Section 10(b), Section 14(e), and the mail and wire fraud statutes; Legislative developments under Dodd-Frank and the STOCK Act; The legitimacy of trading on information obtained from public company insiders, including issues of materiality and the "mosaic" theory of investing; Prosecution and defense strategies.



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